FSA controlled functions

Resource type: Practice note

Status: Law stated as at 31-Mar-2013

Jurisdiction: United Kingdom

An overview of the controlled functions underpinning the FSA's approved persons regime.

On 1 April 2013, the UK regulatory structure changed: the FSA was replaced by two new regulators, the FCA and the PRA, which divided up the FSA controlled functions between them. For information on the new FCA and PRA controlled functions, see Practice notes, Approved persons regime: FCA-controlled functions for approved persons at FCA authorised firms and Approved persons regime: controlled functions for approved persons at PRA-authorised firms.

PLC Financial Services

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Resource ID: 2-201-4103
Law stated date: 31-Mar-2013
Products: PLC UK Financial Services

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Topics

Approved Persons RegimeApproved Persons Regime (http://uk.practicallaw.com/9-201-5203)

Practice note: overview

A guide to PLC's UK corporate governance materials A guide to PLC's UK corporate governance materials (http://crossborder.practicallaw.com/topic3-502-1005)
Approved persons regime: overview Approved persons regime: overview (http://crossborder.practicallaw.com/topic1-201-3397)
Hot topics: Corporate governance in financial services firms Hot topics: Corporate governance in financial services firms (http://crossborder.practicallaw.com/topic2-386-3914)

Practice notes

Approved persons regime: applying for approval Approved persons regime: applying for approval (http://crossborder.practicallaw.com/topic7-201-3399)
Approved persons regime: notifying changes relating to approved persons Approved persons regime: notifying changes relating to approved persons (http://crossborder.practicallaw.com/topic6-523-1417)
Approved persons regime: the fit and proper test Approved persons regime: the fit and proper test (http://crossborder.practicallaw.com/topic3-201-3396)
FCA's financial crime requirements FCA's financial crime requirements (http://crossborder.practicallaw.com/topic0-520-7571)
FSA expectations of non-executive directors in ensuring effective corporate governance FSA expectations of non-executive directors in ensuring effective corporate governance (http://crossborder.practicallaw.com/topic4-383-4242)
FSA's supervisory enhancement programme FSA's supervisory enhancement programme (http://crossborder.practicallaw.com/topic1-381-9672)
Regulation of insurance in the UK Regulation of insurance in the UK (http://crossborder.practicallaw.com/topic1-202-1613)
SIF interviews at the FCA and PRA: a practical guide SIF interviews at the FCA and PRA: a practical guide (http://crossborder.practicallaw.com/topic3-508-5441)

Checklist

SIF interviews at the FCA and PRA: a checklist of key "dos and don'ts" for executive directors and NEDs SIF interviews at the FCA and PRA: a checklist of key "dos and don'ts" for executive directors and NEDs (http://crossborder.practicallaw.com/topic0-508-7597)

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