Related provisions for SUP 10A.7.6
1 - 4 of 4 items.
(1) Some of the controlled functions, as set out in SUP 10A.4.1 R19, apply to an appointed representative of a firm, other than an introducer appointed representative, just as they apply to a firm (see SUP 10A.1.15 R19). These are the governing functions and the customer function5. In the case of an appointed representative that also has a limited permission, an FCA required function may apply to it.9 As explained in SUP 10A.1.16 R19 and SUP 10A.3.2 G19 respectively:21919519519(a)