Prudential Regulation Authority Rulebook

6.1

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

6.2

The requirements of 2.4 – 2.6 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.

6.3

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.

6.4

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.