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C: Part 4a Permission

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CII - Level 4 Diploma R01 - Financial services, regulation, and ethics (C5.1: Responsibilites & approach to regulation) Mind Map on C: Part 4a Permission, created by Mark Varela on 03/04/2014.
Mark Varela
Mind Map by Mark Varela, updated more than 1 year ago
Mark Varela
Created by Mark Varela about 10 years ago
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Resource summary

C: Part 4a Permission

Annotations:

  • - as set out in FSMA - apply to relevant regulator unless exempt
  1. PRA
    1. Institutions that accept deposits
      1. Institutions that accept insurance contracts
      2. FCA
        1. Smaller firms which typically advise on and sell investments and/or home finance and/or gen. insurance
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