http://newgatecompliance.com/top-tips-when-applying-for-controlled-function/ WebFeb 17, 2024 · The forms below are required from all proposed controllers (Section 422 of FSMA) of firms authorised under FSMA, or firms authorised or registered under the …
SUP 11.3 Requirements on controllers or proposed controllers ... - FCA
WebMay 12, 2024 · This includes a combination of your own accounts and FCA-specific forms. Step 3: Completing ‘controller’ forms which are specific to a type of business and their … ebay stock certificates for sale
Form Control Classes Microsoft Learn
WebFeb 9, 2024 · Annual controllers reporting FCA Home Firms Regulatory reporting Annual controllers reporting Annual controllers reporting First published: 06/08/2015 Last updated: 09/02/2024 See all updates Firms should report to us once a year, within 4 months of your accounting reference date. Find out more about how to do this. WebThis need not be an activity regulated by the FCA but applies to all activities requiring some kind of authorisation. Position of responsibility – includes acting as a controller, director, senior manager, managing member, designated member, partner company secretary, or otherwise performing a role of similar influence or responsibility. WebFSMA controllers regime: change of control applications. This note provides an overview of the notifications that controllers or potential controllers of authorised firms should … ebaystockportpostcards