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PART 3 PRUDENTIAL SUPERVISION AND PASSPORTING
PART 4 ADDITIONAL ACTIVITIES AND USE OF DISTRIBUTORS AND AGENTS
Information to be included in or with an application for authorisation
1.A programme of operations, setting out, in particular, the type...
2.A business plan including a forecast budget calculation for the...
3.Evidence that the applicant holds initial capital for the purposes...
4.A description of the measures taken for safeguarding the electronic...
5.A description of the applicant’s governance arrangements and internal control...
6.A description of the internal control mechanisms which the applicant...
7.A description of the applicant’s structural organisation, including, where applicable,...
8.In relation to each person holding, directly or indirectly, a...
10.The identity of the auditors of the applicant, if any....
Amendments to primary and secondary legislation
PART 2 Amendments to secondary legislation
7.The Rehabilitation of Offenders Act 1974 (Exceptions) Order 1975
8.The Financial Markets and Insolvency (Settlement Finality) Regulations 1999
9.The Competition Act 1998 (Small Agreements and Conduct of Minor Significance) Regulations 2000
10.The Competition Act 1998 (Determination of Turnover for Penalties) Order 2000
11.The Financial Services and Markets Act 2000 (EEA Passport Rights) Regulations 2001
12.The Financial Services and Markets Act 2000 (Regulated Activities) Order 2001
13.The Enterprise Act 2002 (Merger Fees and Determination of Turnover) Order 2003
14.The Conduct of Employment Agencies and Employment Business Regulations 2003
15.The Financial Services (Distance Marketing) Regulations 2004
16.The Credit Institutions (Reorganisation and Winding Up) Regulations 2004
17.The Building Societies Act 1986 (Modification of the Lending Limit and Funding Limit Calculations) Order 2004
18.The Pension Protection Fund (Entry Rules) Regulations 2005
20.Limited Liability Partnerships (Accounts and Audit) (Application of Companies Act 2006) Regulations 2008
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