FSA Sourcebook Provisions and Procedures
FSA Sourcebook
General Provisions Procedures
The General Provisions FSA sourcebook contains information for firms on various issues such as status disclosure, the FSA logo, dealing with emergencies and referring to approval by the FSA.
The rules contained within the General Provisions FSA sourcebook are High Level Standards and having a full understanding of them and what your obligations are, therefore the FSA sourcebook is essential.
Having documented and updated FSA Sourcebook procedures for your firm can assist in demonstrating FSA compliance.
We have produced a set of FSA Sourcebook general Provisions Procedures detailing the General Provisions, including examples of what information should be included for your firm.
These FSA Sourcebook procedures will help you understand what is required but also demonstrate externally you are taking 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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