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  • accountable higher management function

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    accountable higher management function

    123 (in APER ) any accountable function that is an FCA controlled function that is a significant-influence function . 150…

  • significant-influence function

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    significant-influence function

    (for the purposes of controlled functions specified in the table of FCA controlled functions and 173 138 in relation to the carrying on of a regulated activity by an authorised person ) a function tha…

  • SYSC TP 6 Transitional Provision 6

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SYSC TP 6 Transitional Provision 6

  • SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A.11 Minimising overlap with the PRA approved persons regime [deleted]

  • SUP 10A Annex 8 Form E: Internal transfer of an approved person

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A Annex 8 Form E: Internal transfer of an approved person

  • SUP 10A Annex 8 Form E: Internal transfer of an approved person

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st October 2018

    SUP 10A Annex 8 Form E: Internal transfer of an approved person

  • SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

  • SYSC 2.2 Recording the apportionment

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SYSC 2.2 Recording the apportionment

  • SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

    This piece of Handbook content was changed by an instrument this month.

    Changes to this piece of Handbook content became effective this month.

    Effective Date: 1st October 2018

    SUP 10A Annex 4 Form A: Application to perform controlled functions under the approved persons regime

  • SUP 10A.13 Application for approval and withdrawing an application for approval

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A.13 Application for approval and withdrawing an application for approval

  • APER 1.1A Application

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    APER 1.1A Application

  • CASS 11.3 Responsibility for CASS operational oversight

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    CASS 11.3 Responsibility for CASS operational oversight

  • SUP 10A Annex 1 Frequently asked questions

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A Annex 1 Frequently asked questions

  • SUP 10A Annex 2 Approved person regime: summary of forms and their use for applications for approval to perform an FCA-controlled function

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    SUP 10A Annex 2 Approved person regime: summary of forms and their use for applications for approval to perform an FCA-controlled function

  • senior conduct rules staff member

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    senior conduct rules staff member

    135 (in COCON ) a person who 159 : (a) comes within row (1) of the table in COCON 1.1.2R ( 159 an SMF manager ) 159 ; 138 (b) comes within row (2) of the table in COCON 1.1.2R ( 159 an employee of a a…

  • FCA governing functions

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    FCA governing functions

    any of the 121 FCA controlled functions labelled as FCA governing functions in the table of FCA-designated senior management functions or in the table of FCA controlled functions . 121 121 92 85 85 83…

  • FCA required functions

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    FCA required functions

    any of the 121 FCA controlled functions labelled as FCA required functions in 121 : (a) (for SMCR firms 121 ) the table of FCA-designated senior management functions ; or 121 92 85 85 83 (b) (for othe…

  • chair of the nomination committee function

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    chair of the nomination committee function

    178 182 FCA controlled function SMF13 in the 182 table of FCA-designated senior management functions 227 , described more fully in SUP 10C.5A.3R . 227 182…

  • other overall responsibility function

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2018

    other overall responsibility function

    74 FCA controlled function SMF18 in the table of FCA-designated senior management functions 93 , described more fully in SUP 10C.7.1R .

  • COCON 1.1 Application

    This piece of Handbook content was changed by an instrument this month.

    Effective Date: 10th December 2019

    COCON 1.1 Application