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Application number (for FCA/PRA use only) The FCA and PRA have produced notes which will assist both the applicant and the candidate in answering the questions in this form. Please read these notes,.

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SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime - FCA Handbook. PRA Rulebook. Glossary.

A statement of responsibilities must be a self-contained document. There should be one statement per senior manager per firm. Where an individual performs a senior management function on behalf of more than one firm within a group, one statement of responsibilities is required for each firm.

Person Performing a Senior Management Function. FCA Handbook Reference: SUP 10C Annex 9D. PRA Rulebook Reference: Notifications and Senior Managers Regime - Applications and.

Form A. There are two versions of Form A – Long Form A and Short Form A. The main difference between the two is that Long Form A must contain detailed information about fitness and proprietary whereas Short Form A does not. The golden rule is that Long Form A can be used in ALL circumstances.

Form E - Internal transfer of a person performing a controlled function for solo-regulated firms (including EEA and third. Application number. (for FCA use only) The FCA has produced notes which will assist both the applicant firm and the candidate in answering the. questions in this form.

The Financial Conduct Authority Handbook is a set of rules required to be followed by banks, insurers, investment businesses and other financial services in the United Kingdom under the Financial Services and Markets Act 2000. It is administered by the Financial Conduct Authority in London.

A statement of responsibilities should be drafted in such a way as to be practical and useable by regulators. The FCA considers that this would be achieved by succinct, clear descriptions of each responsibility which avoid unnecessary detail.

1 What is the Handbook? The Handbook sets out the FCA's legislative and other provisions made under powers given to them by the Financial Services and Markets Act 2000, as amended (FSMA). The status of the different types of provisions is explained in the next section.

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© Copyright 1997-2025
airSlate Legal Forms, Inc.
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Form Packages
Adoption
Bankruptcy
Contractors
Divorce
Home Sales
Employment
Identity Theft
Incorporation
Landlord Tenant
Living Trust
Name Change
Personal Planning
Small Business
Wills & Estates
Packages A-Z
Form Categories
Affidavits
Bankruptcy
Bill of Sale
Corporate - LLC
Divorce
Employment
Identity Theft
Internet Technology
Landlord Tenant
Living Wills
Name Change
Power of Attorney
Real Estate
Small Estates
Wills
All Forms
Forms A-Z
Form Library
Customer Service
Terms of Service
DMCA Policy
About Us
Blog
Affiliates
Contact Us
Privacy Notice
Delete My Account
Site Map
All Forms
Search all Forms
Industries
Forms in Spanish
Localized Forms
Legal Guides
Real Estate Handbook
All Guides
Prepared for You
Notarize
Incorporation services
Our Customers
For Consumers
For Small Business
For Attorneys
Our Sites
US Legal Forms
USLegal
FormsPass
pdfFiller
signNow
airSlate workflows
DocHub
Instapage
Social Media
Call us now toll free:
1-877-389-0141
As seen in:
  • USA Today logo picture
  • CBC News logo picture
  • LA Times logo picture
  • The Washington Post logo picture
  • AP logo picture
  • Forbes logo picture
© Copyright 1997-2025
airSlate Legal Forms, Inc.
3720 Flowood Dr, Flowood, Mississippi 39232