Controllers regime

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Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
IFPRU Remuneration CodeBREXIT: 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
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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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
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 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
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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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
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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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
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Controllers regime content

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
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
Practice notes
FSMA 2000 controllers regime—impact of the Financial Services Act 2012BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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31st Jul
Practice notes
FSMA 2000 controllers regime—obligations for firmsPart XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and...
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31st Jul
Practice notes
Implementation of the Acquisitions Directive BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Authorised firms and close linksBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes
Obligations of controllers—acquiring and increasing controlBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Obligations of controllers—reducing or ceasing controlBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Enforcement of the FSMA 2000 controllers regimePart XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed...
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31st Jul
Practice notes
FSMA 2000 controllers regime—fund managersPart XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed...
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31st Jul
Practice notes
FSMA 2000 controllers regime—key conceptsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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30th Jul
Practice notes
Offences relating to change in control of UK authorised personsChange in control of authorised personsPart XII of the Financial Services and Markets...
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30th Jul

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