Guidance

Past version: effective from 03/02/2020 - 02/02/2020
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1. This Chapter outlines the authorisation requirements for an Authorised Person, an Approved Person and a Recognised Person
2. The Regulator's requirements for authorisation of:
a. Recognised Bodies are covered by MIR; and
b. Representative Offices are covered by Chapter 9.
3. This Chapter should be read in conjunction with the GPM which sets out the Regulator's general regulatory policy and processes. Some additional processes may be outlined in other Chapters of this Rulebook.
4. The GPM sets out the Regulator's approach to the authorisation of Undertakings and individuals to conduct Regulated Activities, Controlled Functions or Recognised Functions, as the case may be.
Amended on (3 February, 2020).