FSA Compliance Standards - Prudential Standards Sourcebook
Prudential Standards Sourcebook for Investment Businesses
The Interim Prudential Sourcebook for Investment Businesses sets out the detailed financial resources and prudential standards that the FSA Compliance Standards applies to firms on an interim basis, pending the introduction of a single prudential sourcebook that will apply to all firms regulated by the FSA Compliance Standards.
The rules contained within the FSA Compliance Standards Interim Prudential Sourcebook for Investment Businesses are Prudential Standards and having a full understanding of them and what your obligations are, and therefore essential.
Having documented and updated FSA Compliance Standards procedures for your firm you can assist in demonstrating FSA compliance.
We have produced a set of FSA Compliance Standards procedures detailing the Prudential Standards, including examples of what information should be included for your firm. These are particularly relevant to small personal investment firms.
These FSA Compliance Standards procedures will help you understand what is required but also demonstrate externally you are taking FSA Compliance Standards 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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