FSA notification requirements: decision tree

Resource type: Practice Note

Status: Maintained

Jurisdiction: United Kingdom

This practice note contains a decision tree produced by Aaron Stephens, a partner, and Helen Armstrong, an associate, both in Berwin Leighton Paisner LLP's Financial Services Investigations and Enforcement practice, which is designed to help FSA-authorised firms determine whether they are faced with a potentially notifiable matter under Principle 11 of the FSA's Principles for Businesses (PRIN) or Chapter 15 of the FSA's Supervision manual (SUP).

This note is in the process of being updated by its authors to reflect the new UK regulatory structure that came into effect on 1 April 2013.

Aaron Stephens and Helen Armstrong, Berwin Leighton Paisner LLP

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Resource ID: 2-518-4719
Products: PLC UK Financial Services
This resource is maintained, meaning that we monitor developments on a regular basis and update it as soon as possible.

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