This book provides an overview of the FCA’s change of control requirements for financial services firms in the UK. It covers the different types of changes in control, the thresholds that trigger notification requirements, the information that must be included in notifications, and the process for obtaining FCA approval for changes in control.
FCA Change In Control: Key Features:
- Comprehensive overview of FCA’s change of control requirements
- Clear explanations of complex regulatory concepts
- Practical guidance for compliance
- Up-to-date information on FCA’s latest guidance changes
FCA Change In Control: Subjects Covered:
- Types of Changes in Control
- Thresholds for Notification
- Information Required in Notifications
- Obtaining FCA Approval
- Consequences of Non-Compliance
- Invaluable Appendix with FCA Change of Control Forms
Discover the essential guide to FCA’s change of control requirements. Understand thresholds, notifications, and the approval process. Avoid legal consequences and stay compliant. Perfect for financial firms, advisors, and professionals.
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