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 we are in the process of updating this note in the light of the PRA's policy statement on its Rulebook (PS5/14), in particular, the new Notifications Part of the PRA Rulebook that replaced the rules and guidance in SUP 15 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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