This checklist will assist in-house counsel, private practice lawyers and risk compliance teams advising authorised persons (firms) when considering whether an application to vary a Part 4A permission under the Financial Services and Markets Act 2000 (as amended) (FSMA) is necessary. It outlines the steps involved in preparing to apply to the Financial Conduct Authority (FCA) or the Prudential Regulation Authority (PRA) to vary a Part 4A permission.
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