23 April 2014

Stuart Clark

Stuart Clark - Impendium Systems

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Financial Services Regulation

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FCA publishes new webpage of approved person applications

04 December 2013  |  536 views  |  0

The Financial Conduct Authority (FCA) has published a new webpage which
gives information of the volumes of approved person applications for controlled
functions that it has received and made a decision upon. These figures will be
published every six months, starting with the period from 1 April 2013 to 30
September 2013.

The information published on the webpage relates to:

  • significant influence function (SIF) applications for approval from FCA solo-regulated firms;
  • CF30 (customer) controlled function applications from FCA solo-regulated firms and dual-regulated firms (the FCA is responsible for CF30 applications from all authorised firms); and
  • applications received and determined under the enhanced SIF process.  This includes details of the number of applications received, those approved with or without interview and those withdrawn before and after interview with FCA.

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Stuart Clark

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Product Development Director

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Impendium Systems

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