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Status: You are viewing the version of the handbook as on 2016-02-03.

APER 3.2 Factors relating to all Statements of Principle

APER 3.2.1ERP

In determining whether or not the particular conduct of an approved person within his accountable function2 complies with the Statements of Principle, the following are factors which, in the opinion of the appropriate regulator,2 are to be taken into account:

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  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 firm.