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Application provision

5.1 The requirements of 2.4 to 2.6 do not apply to a firm in respect of any person who has continued approval in relation to that firm.

5.1

07/03/2016

The requirements of 2.4 to 2.6 do not apply to a firm in respect of any person who has continued approval in relation to that firm.

5.2

07/03/2017

The requirements of 2.42.6 do not apply to a firm in respect of a key function holder in relation to any key function held by that person as at 7 March 2016 at that firm.

5.3

07/03/2017

The requirement to request regulatory references from a full scope regulatory reference firm in accordance with the requirements of 2.6(2) does not apply to a firm in respect of an application for approval as an approved person made before 7 March 2017.

5.4

07/03/2017

Item (F) in the regulatory reference template does not require disclosure of disciplinary action that took place before 7 March 2017 if the firm’s records do not show whether the conduct that was subject to disciplinary action amounted to a breach of the individual conduct requirements referred to in item (F) in the regulatory reference template.