Applicable sections (see SUP 11.1.1 R)
Category of firm |
Applicable sections |
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(1) |
A UK domestic firm other than a building society, a non-directive friendly society or a non-directive firm43 4 |
All except SUP 11.3, SUP 11.4.2A RandSUP 11.4.4 R3 |
(1A) |
(a) In the case of an exempt change in control (see Note), SUP 11.1, SUP 11.2andSUP 11.9 (b) In any other case, all except SUP 11.3, RandSUP 11.4.4 R3 |
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(2) |
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(2A) 3 |
4 | all exceptSUP 11.3, SUP 11.4.2 R, 4andSUP 11.4.4 R3 |
(3) |
All except SUP 11.3, SUP 11.4.2 R, SUP 11.4.2A R, 4, SUP 11.4.9 G, SUP 11.5.8 G to SUP 11.5.10 G, SUP 11.6.2 R, SUP 11.6.3 R, 4, SUP 11.73 |
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Note |
In row (1A), a change in control is exempt if the controller or proposed controller is exempt from any obligation to notify the FSA under Part XII of the Act (Notices of acquisitions of control4 over UK authorised persons4) because of The Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009 (SI 2009/7744). (See SUP 11.3.2A G).21 444 |
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