Related provisions for GEN 1.2.1
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(1) SUP 6.4.5 D (2)(a) provides that the application for cancellation of Part IV permission must be sent to the Resignation Team in the FSA's Corporate Authorisation department which performs a central administrative function. The firm's usual supervisory contact at the FSA will, however, be responsible for all day-to- day contact with the firm and assessing the application.(2) To contact the Cancellations Team: Corporate Authorisation Resignation Team:(a) write to: Cancellations
The Act prohibits any person from carrying on, or purporting to carry on, regulated activities in the United Kingdom unless that person is an authorised person or an exempt person. If an overseas investment exchange or overseas clearing house wishes to undertake regulated activities in the United Kingdom, it will need to:(1) obtain a Part IV permission from the FSA; (2) (in the case of an EEA firm or a Treaty firm) qualify for authorisation under Schedule 3 (EEA Passport Rights)
The matters referred to in FIT 2.1.1 G to which the FSA will have regard include, include, but are not limited to:(1) whether the person has been convicted of any criminal offence; this must include, where relevant, any spent convictions excepted underthe Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975 (see Articles 3 and 4 of the order); particular consideration will be given to offences of dishonesty, fraud, financial crime or an offence whether or not in the