Approved Persons Regime
This part of the topic index contains resources on the approved persons regime. Please select the resource that you require by clicking on the relevant tab below.
7
resources
These resources are maintained, meaning that we monitor developments on a regular
basis and update them as soon as possible.
| 1 | Enforcement: disclosure issues This practice note considers the disclosure issues arising where a firm or individual is being investigated by the FCA. It is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 2 | Enforcement: employment issues and media relations This practice note considers the employment and media relations issues which may arise in relation to, and as a result of, an FCA investigation. It is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 3 | Enforcement: investigation process and practical tips This practice note provides an overview of the investigation process once a case has been referred to the FCA's enforcement function. It sets out some practical tips for firms and individuals who become subject to this process. This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 4 | Enforcement: notice of and preparation for investigation This practice note outlines how the FCA notifies firms and individuals that they are to be subject to an FCA investigation. It suggests ways in which those under investigation can prepare and deal with some of the issues arising. This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 5 | Enforcement: preventing a referral to enforcement This practice note considers the key notification requirements to which FCA authorised persons are subject and the supervisory and thematic visits which the FCA carries out. It outlines the action which an authorised person can take, in consultation with the FCA, to seek to avoid a referral to the FCA's Enforcement and Financial Crime division in relation to any identified concerns. Although this practice note refers throughout to firms, it is also relevant to individuals authorised under the Financial Services and Markets Act 2000 (FSMA). This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 6 | Enforcement: referral to enforcement This practice note outlines the process by which matters are referred to, or otherwise come to the attention of, the FCA's Enforcement and Financial Crime division. It also identifies how the FCA uses enforcement as a regulatory tool and selects which cases to investigate. This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |
| 7 | Enforcement: senior management investigations This practice note outlines the FCA's powers and the process it follows to investigate senior management. It suggests ways in which firms and individuals can deal with FCA investigations of senior management. This practice note is part of a practical guide to the FCA enforcement process, written by PLC Financial Services. For an index to the FCA enforcement process practical guide, see Practice note, A practical guide to the FCA enforcement process: index. | Practice notes | Maintained |