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