compliance

FSA Threshold Conditions

Threshold Conditions Procedures

The FSA expects regulated firms to comply with the FSA Threshold Conditions laid down in this sourcebook. They must be satisfied that firms do and will continue to comply with the FSA Threshold Conditions in relation to their permitted regulatory activities.

The rules contained within the FSA Threshold Conditions sourcebook are High Level Standards and having a full understanding of them and what your obligations are, are therefore essential.

Having documented and updated procedures for your firm you can assist in demonstrating FSA compliance.

We have produced a set of FSA Threshold Conditions Procedures detailing each FSA Threshold Condition, including examples of what information should be included for your firm.

We have also produced separate  FSA Threshold Conditions documents to enhance the procedures. These can be used either in association with the FSA Threshold Conditions procedures or on a stand-alone basis.

This suite of FSA Threshold Conditions documents and procedures will help you understand what is required but also demonstrate externally you are taking FSA Threshold Conditions compliance seriously by researching and understanding your obligations in this area.

Record keeping and FSA notification events are also included to help you, where they are relevant. 

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