FCA and PRA notification requirements: decision tree

A decision tree designed to help firms authorised under the Financial Services and Markets Act 2000 (FSMA) determine whether they are faced with a potentially notifiable matter under Principle 11 of the FCA and PRA's Principles for Businesses (PRIN) or Chapter 15 of the FCA and PRA's Supervision manual (SUP).

Please note that this document has a law stated date, which means that it is no longer maintained. It reflects the regulatory position at 18 June 2014, before the new Fundamental Rules and Notifications Part of the PRA Rulebook came into force on 19 June 2014 (see Legal update, PRA policy statement on PRA Rulebook).

Aaron Stephens, Partner, and Helen Armstrong, Associate, Berwin Leighton Paisner LLP


 

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