course content
22/10/2026 09:30 - 12:30
Module 1: Introduction & Regulatory Context
- Overview of the FSA and its supervisory role
- Definition of “change of control”
- Why regulatory approval is required
- Key legislation and regulatory framework
- Consequences of non-compliance
Outcome: Participants understand the regulatory purpose andlegal foundation of change of control rules.
Module 2: Identifying a Change of Control
- Thresholds for control (e.g., 10%, 20%, 30%, 50%)
- Direct vs indirect control
- Significant influence vs ownership
- Practical examples and scenarios
Outcome: Participants can determine when a transactiontriggers a notification or approval requirement.
Module 3: The Application Process
- Pre-notification considerations
- Step-by-step application process
- Required forms and submission channels
- Key documentation
- Timelines and regulatory review periods
Outcome: Participants understand how to prepare and submit a complete and compliantapplication.
Module 4: Regulatory Assessment Criteria
- Fit and proper test/evaluation of proposed acquirers
- Financial soundness
- Impact on the regulated entity
- Governance and risk management considerations
- Anti-money laundering and source of funds/source of wealth checks
Outcome: Participants understand how regulators assessapplications and what drives approval decisions.
Module 5: Common Challenges & Pitfalls
- Incomplete or inconsistent information
- Complex ownership structures
- Delays and requests for further information
- Cross-border considerations
- Lessons learned from real-world cases
Outcome: Participants can anticipate and mitigate commonissues in the process.
Module 6: Practical Case Study & Interactive Discussion
- Walkthrough of a sample transaction
- Identifying triggers and risks
- Group discussion or Q&A
Outcome: Participants apply knowledge to a realisticscenario.
Module 7: Best Practices & Regulator Engagement
- Communicating effectively with the FSA
- Managing timelines and expectations
- Coordinating internal stakeholders and advisors
- Post-approval obligations
Outcome: Participants gain practical strategies for smoother application handling.
This course is suitable for professionals involved inregulatory compliance, corporate transactions, and financial servicesgovernance, including:
- Compliance Officers
- In House Legal Counsels (Financial Services /Corporate)
- Risk Managers
- Corporate Finance Professionals
- M&A Advisors
- Company Secretaries
- Internal Auditors
- Directors and Senior Managers of regulated firms
- Consultants in financial/corporate sector








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