Related provisions for SUP 10A.10.4

SUP 10A.4.4R07/03/2016

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) (See Note 1)
Type	CF	Description of FCA controlled function
4 FCA governing functions*	1	Director function (see Note 2)
	42a	Chair of the nomination committee function(See Note 2 36)
	42b	Chair of the with-profits committee function(See Note 2 36)
	63	Chief executive function (see Note 3A)
	45	Director of an unincorporated association function 5 (See Note 2 3B6)
	66	Small friendly society function (see Note 3C)
		6 4
	10	Compliance oversight function
	10A	CASS operational oversight function
	11	Money laundering reporting function
	40	Benchmark submission function 1
	50	Benchmark administration function 1
	451	Actuarial conduct function (third country) (see Note 4)
4 Systems and controls function*	28	Systems and control function (see Note 5)
Significant management function*	29	Significant management function
Customer-dealing function	30	Customer function
*FCA significant-influence functions
4Note 1: Part 2 of this table does not apply to appointed representatives of PRA-authorised persons, Part 1 applies instead. (See SUP 10A.4.2R.)
4Note 2:Solvency II firms (including large non-directive insurers) and small non-directive insurers 6.
Note 3:Solvency II firms (including large non-directive insurers) only.6 4
6Note 3A:small non-directive insurers only.
6Note 3B:Solvency II firms (including large non-directive insurers) and small non-directive insurers.
6Note 3C:small non-directive insurers and large non-directive insurers only.
4Note 4: Third country insurance or reinsurance undertakings which are Solvency II firms only.
4Note 5: Only Solvency II firms that are: (a) third-country insurance or reinsurance undertakings; or (b) ISPVs.

Related provisions for SUP 10A.10.4

Search Term(s)

Filter by Topics

Filter by Modules

Filter by Documents

Filter by Keywords

Effective Period

Similar To