FCA notification requirements: decision tree | Practical Law

FCA notification requirements: decision tree | Practical Law

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's Principles for Businesses (PRIN) or Chapter 15 of the FCA's Supervision manual (SUP).

FCA notification requirements: decision tree

Practical Law UK Practice Note 2-518-4719 (Approx. 6 pages)

FCA notification requirements: decision tree

by Andrew Tuson, Partner, Helen Armstrong, Senior Associate, and Adam Jamieson, Senior Associate, Bryan Cave Leighton Paisner LLP
Maintained • United Kingdom
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's Principles for Businesses (PRIN) or Chapter 15 of the FCA's Supervision manual (SUP).