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Appointed representatives and tied agents

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Latest Financial Services News

UK urged to introduce IPO-friendly listing rules to rival US

UK urged to introduce IPO-friendly listing rules to rival US

The following Financial Services news provides comprehensive and up to date legal information on UK urged to introduce IPO-friendly listing rules to rival US

Tech outsourcing risky for finance firms, insurer says

Tech outsourcing risky for finance firms, insurer says

The following Financial Services news provides comprehensive and up to date legal information on Tech outsourcing risky for finance firms, insurer says

Financial Services weekly highlights—6 May 2021

Financial Services weekly highlights—6 May 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—6 May 2021

UK joins US in implementing a global anti-corruption sanctions regime

UK joins US in implementing a global anti-corruption sanctions regime

The following Banking & Finance news provides comprehensive and up to date legal information on UK joins US in implementing a global anti-corruption sanctions regime

Featured Financial Services content

What is credit and what is a regulated consumer credit agreement?

What is credit and what is a regulated consumer credit agreement?

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...

MiFID I—Transaction reporting

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...

The impact of Brexit on the MiFID II regime

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...

Debt sale and purchase agreements

Debt sale and purchase agreements

The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...

Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes

Entering into a consumer hire agreement as owner

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

European Venture Capital Funds (EuVECA) Regulation

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

MLD4—key provisions for financial services firms—one minute guide

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

Recognised investment exchanges

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
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Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

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

Consumer protection—FCA and other regulatory requirements

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

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes

Application of the FCA's COBS 4 rules

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

Public censure by the FCA

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

Regulatory capital—purpose, quantity and quality

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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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Non-UCITS retail schemes (NURS)

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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Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
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Produced in partnership with DLA Piper 12th Jan
Practice notes

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
Practice notes

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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9th Nov
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Most recent Appointed representatives and tied agents content

Practice notes

A principal's responsibility for its appointed representatives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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29th Apr
Practice notes

FCA—APR controlled functions for benchmark administrators and appointed representatives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Apr
Practice notes

Tied agents

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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8th Apr
Practice notes

Multiple principals and appointed representatives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Mar
Practice notes

Appointed representatives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Mar
Practice notes

Contract requirements for appointed representatives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Mar
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’) marked the end of the Brexit transition/implementation period entered into following the...
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15th Feb
Q&As

SUP 12.4.5 requires multiple principals to enter into multiple principal agreements in relation to their appointed representatives (ARs). Does this apply to every multiple principal scenario, eg if a money remittance business has multiple ARs and they all have other principals, does the money remittance business need to enter into a separate agreement with each individual principal?

We refer you to Practice Note: Multiple principals and appointed representatives which states that SUP 12.4.5B R in the FCA Handbook requires...
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28th Nov
Q&As

Does an appointed representative have any obligations to the Financial Conduct Authority (FCA) in respect of its principal, if the appointed representative has concerns that the principal is not meeting its FCA obligations and requirements?

Appointed representatives are by definition not authorised persons and are exempt from the need to obtain an authorisation, though certain individuals...
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28th Nov

Popular documents

Nuisance and the rule in Rylands v Fletcher—common law liability for pollution

Nuisance and the rule in Rylands v Fletcher—common law liability for pollution

Private nuisancePrivate nuisance is an unlawful interference with a person's use or enjoyment of land or some right over or in connection with it. Interference must be unreasonable, and may be caused, eg by water, smoke, smell, fumes, gas, noise, heat or vibrations. Where the defendant has not

Novation—why and how to novate a contract

Novation—why and how to novate a contract

There may be times when, rather than assigning the benefit of an agreement to a third party, the original parties wish instead to end their obligations to each other under that agreement and, in effect, recreate it, with the third party stepping into the shoes of one of the original parties. This is

Double insurance and contribution

Double insurance and contribution

Overlapping insurance policesThere are various reasons why an insured may end up with overlapping insurance cover, whether deliberately or otherwise.Examples include the situation where the insured takes the benefit of other insurance arranged by another party or where, in the commercial world, risk

What is diversity and inclusion (D&I)—law firms

What is diversity and inclusion (D&I)—law firms

This Practice Note provides a high-level introduction to diversity and inclusion (D&I) and key reasons why it is important to law firms. Specific aspects of D&I are covered in more detail in Practice Notes:•The growing focus on diversity and inclusion (D&I) in law firms•Unconscious bias—law