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Approved persons regime: controlled functions for approved persons at FCA-authorised firms
Practical Law UK Practice Note 1-522-8417 (Approx. 15 pages)
Approved persons regime: controlled functions for approved persons at FCA-authorised firms
| Law stated as at 08 Dec 2019 • United Kingdom |
An overview of the controlled functions that may be performed by approved persons working for, or on behalf of, FCA-authorised firms.
Please note that, following the extension of the SM&CR to FCA solo-regulated firms in December 2019, this practice note has been given a law stated date, which means it is no longer maintained. For information on the FCA-designated senior management functions under the SM&CR, see Practice note, Senior management functions and prescribed responsibilities under the SM&CR.