FSA Supervision - Manual Details and Rules
FSA Supervision
Supervision Manual
The FSA Supervision Manual details rules and guidance concerning the relationship between the FSA and authorised firms, and how they will be supervised.
The FSA has four objectives in terms of its aims for FSA supervision. These objectives are:
- Maintaining confidence in the financial system
- Promoting public understanding of the financial system
- Securing the appropriate degree of protection for consumers
- Reducing financial crime
The FSA Supervision rules and guidance contained within the FSA Supervision Manual are Regulatory Processes and having a full understanding of them and what your obligations are, are therefore essential.
Having documented and updated FSA Supervision procedures, your firm can assist in demonstrating FSA Supervision compliance.
We have produced a set of FSA Supervision procedures detailing the requirements of the FSA Supervision Manual, including examples of what information should be included for your firm.
Record keeping and FSA notification events are also included to help you, where they are relevant.
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