GENE A1.1 Guidance

1. This Schedule provides guidance on the criteria the Regulatory Authority may take into account when assessing for the purposes of FSR, article 29 and Chapter 2 the fitness and propriety of:
(a) an applicant to be an authorised firm; and
(b) an authorised firm.
2. In considering any specific matters, the Regulatory Authority may request reviews by any appropriately skilled third party on any aspect of the authorised firm's proposed or actual activities or the environment in which it predominantly operates.
3. The Regulatory Authority may request or require any information which it considers relevant to its consideration of an application.
Editorial changes (as from 1st January 2016).