SUP 10A.4 Specification of functions

SUP 10A.4.1R01/04/2013

Each of the functions described in SUP 10A.4.4 R (the table of FCA controlled function) is an FCA controlled function.

SUP 10A.4.2R10/12/2018

The table of FCA controlled functions 8 applies in relation to an FCA-authorised person. It also applies in relation to an appointed representative for the purposes of SUP 10A.1.15 R to SUP 10A.1.16BR4 (Appointed representatives) whether its principal is an FCA-authorised person or a PRA-authorised person. 8

2 2

SUP 10A.4.2AG10/12/2018

[deleted]8

SUP 10A.4.3G01/04/2013

The fact that a person may be FCA-approved for one purpose does not have the effect of bringing all his activities within that FCA controlled function.

SUP 10A.4.4R09/12/2019

FCA controlled functions

8(FCA controlled functions for FCA-authorised persons and appointed representatives)
Type	CF	Description of FCA controlled function
FCA governing functions*	1	Director function
	2	Non-executive director function
	3	Chief executive function
	4	Partner function
	5	Director of unincorporated association function
	9	9
9	9	9
	9	9
	9	9
	9	9
	7	7 1
	7	7 1
9	9	9
Significant management function*	29	Significant management function
Customer-dealing function 3 3	30	Customer function
*FCA significant-influence functions

Select a Version:

Content Options:

View Options:

More Resources:

Alternative versions

SUP 10A.4 Specification of functions