QCA Response to the FCA - Consultation Paper CP14/21: Comments on the Proposed Technical Notes

10th November 2014

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Our Corporate Finance Expert Group contributed to our response to the FCA Consultation Paper (CP14/21) – Comments on the Proposed Technical Notes. We welcomed that the FCA has taken a flexible approach in the assessment of the competency framework. We also welcomed the proposed ‘look through’ approach in the cases of firms with low activity or new entrants. We highlighted our concern on smaller firms and their limited resources with regard to retaining competency frameworks and asked the FCA to continue to take into consideration the limitations of smaller firms and potential new entrants.

Click here to download the response (pdf)

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