Authorisation, approval and supervision

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Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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9th Nov
Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 9th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Authorisation, approval and supervision content

Practice notes
STOP PRESS: On 16 July 2018 the Financial Reporting Council published revised versions of its UK Corporate Governance Code (UKCG Code) and Guidance on...
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27th Nov
Practice notes
This Practice Note highlights some of the issues firms need to think about and address while preparing to apply for authorisation to carry on...
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27th Nov
Practice notes
On 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APER) in relation to UK banks, building...
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27th Nov
Practice notes
Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a Statement of Responsibilities (SOR) with...
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27th Nov
Practice notes
Firms who wish to carry one or more PRA-regulated activities as set out in the Financial Services and Markets Act 2000 (Regulated Activities) Order...
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27th Nov
Practice notes
All Prudential Regulation Authority (PRA) authorised firms are required to maintain a set of minimum standards in order to become and remain...
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Produced in partnership with John Ahern 27th Nov
Practice notes
Coronavirus (COVID-19): The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) have issued a joint statement on their...
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Produced in partnership with Gillian Maclellan, Partner of CMS 26th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Pan Papakyprianou, Associate of Linklaters LLP 24th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 24th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sophie Walden of Linklaters 24th Nov
Practice notes
This Practice Note provides an introduction to some of the regulatory responsibilities and contractual requirements that firms authorised by the...
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23rd Nov
Practice notes
General role and responsibility of a non-executive director (NED)For information about the roles and responsibilities of NEDs, see Practice Note:...
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19th Nov
Practice notes
BREXIT: The UK’s exit from the EU and the end of the implementation period on 31 December 2020 will have an impact on this Practice Note. For more...
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19th Nov
Practice notes
Training and competence—appropriate examination standardsThe Financial Conduct Authority (FCA) Training and Competence Sourcebook (TC) requires...
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19th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
19th Nov
Practice notes
Coronavirus (COVID-19): .Due to the exceptional circumstances of coronavirus, the Financial Conduct Authority is allowing firms to defer some...
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19th Nov
Practice notes
BREXIT: The UK’s exit from the EU and the end of the implementation period on 31 December 2020 will have an impact on this Practice Note. For more...
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18th Nov
Practice notes
The Senior Managers and Certification Regime (SM&CR) and the Approved Persons Regime (APR) are the UK regulators’ framework for regulating individuals...
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17th Nov
Practice notes
The PRA's strategyThe PRA and the BoEUntil 1 March 2017, the Prudential Regulation Authority (PRA), was a subsidiary company of the Bank of England...
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17th Nov

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