Check your settings below and select the cookies you’re happy with.

Strictly Necessary Cookies

These cookies are necessary for the website to function and cannot be switched off in our systems. They are usually only set in response to actions made by you which amount to a request for services, such as setting your privacy preferences, logging in or filling in forms. You can set your browser to block or alert you about these cookies, but some parts of the site will not then work. These cookies do not store any information which allows us to identify you unless you are logged into your account.

Performance Cookies

These cookies allow us to count visits and traffic sources so we can measure and improve the performance of our site. They help us to know which pages are the most and least popular and see how visitors move around the site. All information these cookies collect is aggregated and therefore anonymous. If you do not allow these cookies we will not know when you have visited our site and will not be able to monitor its performance.

Functional Cookies

These cookies enable the website to provide enhanced functionality and personalisation. They may be set by us or by third party providers whose services we have added to our pages. If you do not allow these cookies then some or all of these services may not function properly.

Targeting Cookies

These cookies may be set through our site by our advertising partners. They may be used by those companies to build a profile of your interests and show you relevant adverts on other sites. They do not store directly information which allows us to identify you personally but are based on uniquely identifying your browser and internet device. If you do not allow these cookies, you will experience less targeted advertising.

Find out more about www.allaboutcookies.org or view our cookie policy.

Skip to main content

Home
FCA Handbook
Search Results

Related provisions for SUP 10A.5.1

1 - 4 of 4 items.

SUP 10A.4.4R01/08/2015

FCA controlled functions

Part 1 (FCA controlled functions for FCA-authorised persons and appointed representatives)
Type	CF	Description of FCA controlled function
FCA governing functions*	1	Director function
	2	Non-executive director function
	3	Chief executive function
	4	Partner function
	5	Director of unincorporated association function
	6	Small friendly society function
FCA required functions*	8	Apportionment and oversight function
	10	Compliance oversight function
	10A	CASS operational oversight function
	11	Money laundering reporting function
	40	Benchmark submission function 1
	50	Benchmark administration function 1
Systems and controls function*	28	Systems and controls function
Significant management function*	29	Significant management function
Customer-dealing function 3 3	30	Customer function
*FCA significant-influence functions

Part 2 (FCA controlled functions for PRA-authorised persons)
Type	CF	Description of FCA controlled function
FCA required functions*	8	Apportionment and oversight function
	10	Compliance oversight function
	10A	CASS operational oversight function
	11	Money laundering reporting function
	40	Benchmark submission function 1
	50	Benchmark administration function 1
Significant management function*	29	Significant management function
Customer-dealing function	30	Customer function
*FCA significant-influence functions