(1) | A UK domestic firm other than a building society, a non-directive friendly society, a non-directive firm or (in the case of an FCA-authorised person) a firm with only a limited permission | All except SUP 11.3, SUP 11.4.2A R and SUP 11.4.4 R |
(1A) | A building society | (a) In the case of an exempt change in control (see Note), SUP 11.1, SUP 11.2 andSUP 11.9 (b) In any other case, all except SUP 11.3 andSUP 11.4.4 R |
(2) | A non-directive friendly society | SUP 11.1, SUP 11.2, and SUP 11.9 |
(2A) | A non-directive firm | all except SUP 11.3, SUP 11.4.2 R, and SUP 11.4.4 R |
(2B) | (In the case of an FCA-authorised person) a firm with only a limited permission | All except SUP 11.3, SUP 11.4.2 R, and SUP 11.4.4 R |
(3) | An overseas firm | All except SUP 11.3, SUP 11.4.2 R, SUP 11.4.2A R,, SUP 11.4.9 G, SUP 11.5.8 G to SUP 11.5.10 G, SUP 11.6.2 R, SUP 11.6.3 R,, SUP 11.7 |
Note | In row (1A), a change in control is exempt if the controller or proposed controller is exempt from any obligation to notify the appropriate regulator under Part XII of the Act (Control Over Authorised Persons) because of The Financial Services and Markets Act 2000 (Controllers) (Exemption) Order 2009 (SI 2009/774). (See SUP 11.3.2A G). |
