Authorisation, approval and supervision

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Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May

Most recent Authorisation, approval and supervision content

Practice notes
Regulatory action against Senior ManagersLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 1st Aug
Practice notes
SM&CR—application to insurersOn 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR) for UK...
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Produced in partnership with Carol-Ann Burton and Margarita Kato of Holman Fenwick Willan LLP and Dominic Pereira as research contributor 1st Aug
Practice notes
Control of insurance companiesRegulatory background to insuranceThe Financial Services and Markets Act 2000 (FSMA 2000) established a regulatory...
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Produced in partnership with Alice Carse of Devereux Chambers 1st Aug
Q&As
As a relevant authorised person (a regulated firm), when do you have to make a notification to the FCA regarding the conduct of approved persons?For...
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31st Jul
Q&As
Do you have any simplified guidance as to how the Financial Conduct Authority defines a ‘Material Risk Taker’ who could cause significant harm...
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31st Jul
Q&As
When and how should a UK firm apply for authorisation or a variation of permission under MiFID II?This Q&A explains when and how a UK firm should...
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31st Jul
Q&As
What are the corporate governance requirements of Solvency II that would need to be considered when determining any corporate governance...
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31st Jul
Q&As
What are the key considerations when a firm contracts with an appointed representative?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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31st Jul
Q&As
What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the...
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31st Jul
Q&As
What are the notification requirements for a change in control of a firm?Our Practice Notes Obligations of controllers—acquiring and increasing...
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31st Jul
Q&As
How will Prudential Regulation Authority (PRA) applications for ‘approved persons’ for non-senior management functions be treated following...
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31st Jul
Q&As
What options are available under the Senior Managers and Certification Regime for providing maternity cover for the Head of Internal Audit in an SII...
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31st Jul
Q&As
How can an unregulated parent manage a FCA regulated subsidiary without obtaining authorisation itself?A firm which carries on regulated activities as...
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31st Jul
Q&As
Is there an obligation under the Senior Managers and Certification Regime (SM&CR) for senior managers to undergo either standard or enhanced criminal...
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31st Jul
Practice notes
SM&CR—policy development and key datesOn 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR)...
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31st Jul
Practice notes
Prudential Regulation Authority—imposition and variation of requirements BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end...
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31st Jul
Practice notes
SM&CR—essentials for claims management companiesIntroductionThe Financial Conduct Authority (FCA) took over regulation of the claims management sector...
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31st Jul

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