APER 3.2 Factors relating to all Statements of Principle


1In determining whether or not the particular conduct of an approved person within their accountable function complies with the Statements of Principle, the following are factors which, in the opinion of the FCA, are to be taken into account:

  1. (1)

    whether that conduct relates to activities that are subject to other provisions of the Handbook;

  2. (2)

    whether that conduct is consistent with the requirements and standards of the regulatory system relevant to his APER employer2.