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The Financial Conduct Authority (FCA) has secured the conviction of Daniel Pugh for operating a £1.3m Ponzi scheme through the Imperial Investment...
The European Banking Authority (EBA) has published its final draft implementing technical standards (ITS) on the supervisory benchmarking of credit...
The Bank of England (BoE) and Financial Conduct Authority (FCA) have published a policy statement finalising amendments to UK EMIR Trade Repository...
MLex: A division is emerging in the UK financial services industry over the future of digital money, after Bank of England (BoE) governor Andrew...
The Financial Conduct Authority (FCA) updated its UK EMIR reporting guidance to include final validation rules and XML schemas supporting minor...
US Foreign Corrupt Practices Act (FCPA)This Practice Note provides an introduction to the US Foreign Corrupt Practices Act (FCPA) and issues related...
Key dates for Financial Services—horizon scannerThis Practice Note contains a list of key future developments and dates for financial services lawyers...
Complaints against UK financial services regulatorsBackground to the Complaints SchemePart 6 of the Financial Services Act 2012 (FSA 2012) requires...
Cryptoassets for Dispute Resolution lawyersThis Practice Note on cryptoassets (a form of digital asset) for dispute resolution lawyers explains what...
SM&CR—essentials for benchmark administratorsNOTE: On 15 July 2025, the government announced the Leeds Reforms, which include plans to streamline the...
Dealing Procedures ManualThis precedent memorandum sets out the procedures to be followed by a listed company and its subsidiaries in relation to...
Precedent notice for use with exempt financial promotions to high net worth individuals and self-certified sophisticated investorsWarning: The content...
Financial services outsourcing agreement (intra group)This Agreement is made on [insert date]Parties1[Insert name of party] a company incorporated in...
Specimen Dealing CodeThis Precedent is a memorandum that sets out the details of the ‘specimen’ dealing code. The specimen dealing code is the product...
Letter from PDMR to PCA—continuing obligations under Article 19 Market Abuse Regulation[On headed notepaper of PDMR]Strictly private and...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...
Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, key investor information...
Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial servicesThis Practice Note provides a detailed introduction to the...
Debt sale and purchase agreementsThe debt sale and purchase market is an important way for lenders and debt sellers to reduce balance sheet liability....
Consumer Credit Act 1974—early settlementIntroduction to early settlementBorrowers are entitled, at any time, to bring regulated agreements to an end....
FCA Handbook—introductionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Credit limitsThis Practice Note provides an overview of the rules that apply to credit limits. A borrower will be set a credit limit on the maximum...
Consumer credit agreements—pre-contract requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
What are regulated activities?Scope of this Practice NoteThis Practice Note explains what constitutes regulated activities under the UK regulatory...
MiFID and non-MiFID businessThis Practice Note summarises what MiFID business is as the term is defined in the Financial Conduct Authority (FCA)...
Part VII Transfer of Banking BusinessBackgroundAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....
The Financial Services & Markets Act 2000 (Non-Exempt Activities) Order 2001 is secondary legislation which contains a list of the activities to which the exemption to the general prohibition does not apply.
A type of capital gain taxable as income which arises on the disposal of an interest in a reporting-fund'>non-reporting fund.
An exemption which enables professional firms regulated by designated professional bodies to carry on exempt regulated activities.