Related provisions for SUP 12.6.11A

SUP 12.4.5AG01/04/2013

1If a firm proposes to appoint an appointed representative, but not to prohibit its appointment by any other principals (see SUP 12.5.2 G (3)), the firm should, in particular:(1) require, in the contract, that the appointed representative notifies the firm about other principals (see SUP 12.5.5 R (3)) and (2) unless the appointed representative is an introducer appointed representative:(a) take reasonable steps to check whether the appointed representative is already appointed

SUP 10A.4.4R01/08/2015

FCA controlled functions

Part 1 (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
	6	Small friendly society function
FCA required functions*	8	Apportionment and oversight function
	10	Compliance oversight function
	10A	CASS operational oversight function
	11	Money laundering reporting function
	40	Benchmark submission function 1
	50	Benchmark administration function 1
Systems and controls function*	28	Systems and controls function
Significant management function*	29	Significant management function
Customer-dealing function 3 3	30	Customer function
*FCA significant-influence functions

Part 2 (FCA controlled functions for PRA-authorised persons)
Type	CF	Description of FCA controlled function
FCA required functions*	8	Apportionment and oversight function
	10	Compliance oversight function
	10A	CASS operational oversight function
	11	Money laundering reporting function
	40	Benchmark submission function 1
	50	Benchmark administration function 1
Significant management function*	29	Significant management function
Customer-dealing function	30	Customer function
*FCA significant-influence functions

Related provisions for SUP 12.6.11A

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