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Add an appointed representative or tied agent form Notification under SUP 12.7.1R (i.e. the form in SUP 12 Ann 3R) Firm name (i.e. the principal firm) ( "The firm ") Firm reference number.

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The Financial Conduct Authority (FCA) regulates the financial services industry in the UK. Its role includes protecting consumers, keeping the industry stable, and promoting healthy competition between financial service providers.

Welcome to the website of the Financial Conduct Authority's Handbook of rules and guidance. The FCA Handbook contains the complete record of FCA Legal Instruments and presents changes made in a single, consolidated view.

Under the duty of responsibility, we and the PRA can take enforcement action against Senior Managers if they are responsible for the management of any activities in their firm in relation to which their firm contravenes a regulatory requirement, and they do not take such steps as a person in their position could ...

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

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.

The FCAʼs high-level standards are set out in Block 1 of the FCA handbook. The high-level standards form the building blocks for the FCAʼs regulatory system and set out the fundamental obligations of businesses that are regulated.

Welcome to the Financial Conduct Authority.

The FCA Handbook sets out the Financial Conduct Authority legislative and other provisions for firms and consumers who are seeking information on financial conduct rules and guidance to ensure compliance.

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© Copyright 1997-2025
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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