Regulating the behaviour of approved persons: is the FSA and the new FCA regime fit for the purpose?

Okoye, Ngozi (2013) Regulating the behaviour of approved persons: is the FSA and the new FCA regime fit for the purpose? The Company Lawyer, 34 (12). pp. 359-364. ISSN 0144-1027

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Item Type:Article
Item Status:Live Archive

Abstract

This article examines whether the FSA Approved Persons’ Regime is sufficient and effective in ensuring that approved persons behave appropriately in the performance of their role and beyond, as expected under the new financial regulatory framework. It is argued that limitations exist in the regime because it does not incorporate a personality assessment and the approval process employs differing standards.

Keywords:Approved Persons, Companies, Due Diligence, Financial Conduct Authority, Financial Services, Financial Services Authority
Subjects:M Law > M221 Business and Commercial Law
Divisions:College of Social Science > Lincoln Law School
ID Code:12606
Deposited On:27 Nov 2013 16:33

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