C2: Reporting & notifications

Description

CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C6: Principles & rules set out in reg. framework) Mind Map on C2: Reporting & notifications, created by Mark Varela on 02/06/2014.
Mark Varela
Mind Map by Mark Varela, updated more than 1 year ago
Mark Varela
Created by Mark Varela over 10 years ago
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Resource summary

C2: Reporting & notifications

Annotations:

  • FCA req'd regular returns
  1. shareholdings & control of ltd co.
    1. people/organisations with close links

      Annotations:

      • - subsidiaries - sister companies - holdings of at least 20%
      1. financial resources
        1. complaints recv'd
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