UKFS: FCA Change In Control: What is Needed and Why

This book provides an overview of the FCA's change of control requirements for financial services firms in the UK. It covers the different types of changes in control, the thresholds that trigger notification requirements, the information that must be included in notifications, and the process for obtaining FCA approval for changes in control.

The book also includes a discussion of the potential consequences of failing to comply with the FCA's change of control requirements, including criminal sanctions.

This book is intended for financial services firms, their directors, and other individuals involved in changes of control. It is also a valuable resource for lawyers, accountants, and other professionals who advise financial services firms on regulatory compliance.

Key Features:

Comprehensive overview of the FCA's change of control requirements

Clear and concise explanations of complex regulatory concepts

Practical guidance on how to comply with the FCA's requirements

Up-to-date information on the latest changes to the FCA's guidance

Subjects covered;

Types of Changes in Control

Thresholds for Notification

Information to be Included in Notifications

Obtaining FCA Approval for Changes in Control

Consequences of Non-Compliance


Appendix with 

FCA Change of Control Forms

The FCA's website provides additional information on change of control requirements, including the following:

Change in Control:

Change in Control Notification Forms:

Control Thresholds or Bands:

Requirements for a Change in Control:

0.98 MB PDF

GBP 1.99

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