Sup 10a of the fca manuals

fca register
fca handbook
fca controlled functions list
fca handbook approved persons
sup 10c
fca supfca approved person application
fca approved person requirements

Sections 59(1) and (2) of the Act provide that approval is necessary in respect of an FCA controlled function which is performed under an arrangement entered 5SUP 10C deals with the approved persons regime for SMCR firms themselves13. The rules in this chapter specify descriptions of FCA controlled functions under SUP 10A.1 Application · General · Overseas firms: UK services · Overseas firms: UK establishments · Incoming EEA firms, incoming Treaty firms and UCITS qualifiers. SUP 10A.6 FCA governing functions ; Introduction. SUP 10A.6.1 · SUP 10A.6.2 ; Director function (CF1). SUP 10A.6.7 · SUP 10A.6.8 ; Non-executive director function (In accordance with section 59 of the Act (Approval for particular arrangements), where a candidate will be performing one or more FCA controlled functions, SUP 10A.10 applies with respect to activities carried on from an establishment maintained by the appointed representative or its principal7 in the United SUP 10A.15 References and accurate information Failing to disclose relevant information to the FCA may be a criminal offence under section 398 of the SUP 10A.10 applies with respect to activities carried on from an establishment maintained by the appointed representative or its principal7 in the United handbook.fca.org.uk. SUP 10A/3. (a) has responsibility for the regulated activities of the UK establishment which are likely to enable them to exercise. The forms listed in SUP 10A.12.2 G are referred to in SUP 10A.12 (Procedures relating to FCA-approved persons) to SUP 10A.16 (How to apply for approval and give