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Does the FCA know who owns or controls your firm?

We receive a number of queries in relation to the notification and pre-approval requirements for changes in control of regulated firms. This article is a reminder of the main requirements for MiFID and non-MiFID firms and also explains the concept of 'acting in concert.' It is important to keep these requirements in mind when considering a business decision that may affect ownership or control of your firm.

The definition of control

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