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Chapter 7 - FCA and PRA Authorisation of Firms and Individuals > Authorisation > Flashcards

Authorisation Flashcards

1
Q

UK Firm Authorisation (Not exempt and need license )

A

FSMA 2000
Part 4A

FCA/PRA

Authorised

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2
Q

EEA Member State (EEA) Authorisation

A

Passport

EU Directive (MIFID)

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3
Q

Perimeter guidance manual (PERG)

A

Guidance on when authorisation needed

Not binding

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Chapter 7 - FCA and PRA Authorisation of Firms and Individuals (4 decks)

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