Authorisation and supervision: situations

This page lists the situation notes in authorisation and supervision — each one answers a specific moment when something has gone wrong or a decision is due, with the first step, who decides, and what it costs to be wrong. Pick the one that matches your position.

All situations in this practice (33)

• When a complaint triggers a review: what to do first
• When a group entity holds a different: what to do first
• When a key function holder resigns: what it costs to be wrong
• When a key function holder resigns: what to do first
• When a licence is suspended: what it costs to be wrong
• When a licence is suspended pending review: what to do first
• When a promotion is treated as an offer: what to do first
• When a shareholder change requires: what it costs to be wrong
• When a shareholder change requires approval: what to do first
• When a supervisor asks about: what it costs to be wrong
• When a supervisor asks about governance: what to do first
• When an appeal deadline follows: what it costs to be wrong
• When an appeal deadline follows a refusal: what to do first
• When an authorisation is withdrawn: what to do first
• When an on-site inspection: what it costs to be wrong
• When an on-site inspection is announced: what to do first
• When cross-border services: what it costs to be wrong
• When cross-border services are added: what to do first
• When outsourcing is challenged: what it costs to be wrong
• When outsourcing is challenged: what to do first
• When own funds fall below: what it costs to be wrong
• When own funds fall below the threshold: what to do first
• When passporting is refused: what to do first
• When the applicant is asked to prove: what to do first
• When the application file: what it costs to be wrong
• When the application file is returned: what to do first
• When the business model changes: what it costs to be wrong
• When the business model changes: what to do first
• When the file is incomplete on AML: what it costs to be wrong
• When the file is incomplete on AML: what to do first
• When the regulator changes during: what it costs to be wrong
• When the regulator changes during: what to do first
• When the supervisor publishes a measure: what to do first

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