Notifications and applications

View Financial Services by content type:

Featured Financial Services content

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...
Read More >
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...
Read More >
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,...
Read More >
Produced in partnership with Morrison & Foerster LLP 9th Nov
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
Read More >
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,...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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
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
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...
Read More >
9th Nov
Practice notes
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...
Read More >
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...
Read More >
9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
Read More >
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...
Read More >
9th Nov

Most recent Notifications and applications content

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. For...
Read More >
29th Nov
Practice notes
Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...
Read More >
29th Nov
Practice notes
Authorised people can only carry out regulated activities in the UK in accordance with their permission. Where people intend to change how they carry...
Read More >
29th Nov
Practice notes
Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...
Read More >
29th 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 >
Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP 29th Nov
Practice notes
From 1 April 2013, the PRA and the FCA replaced the FSA. From 1 April 2013, in addition to the need to identify which regulator is relevant to the...
Read More >
29th Nov
Practice notes
Chapter 16 Annex 16A of the Financial Conduct Authority (FCA) Handbook's Supervision Manual (FCA SUP 16, Annex 16A) sets out a list of standing data...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP 29th Nov
Practice notes
Cancellation refers to the removal of a firm's Part 4A permission. Where Prudential Regulation Authority (PRA)-authorised firms cease to carry out...
Read More >
29th 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. For...
Read More >
29th Nov
Practice notes
This Practice Note provides an introduction to some of the regulatory responsibilities and contractual requirements that firms authorised by the...
Read More >
29th Nov
Practice notes
In the UK, certain relationships and close ties that firms may have are considered to have the potential to affect the way in which a firm is run and...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP 29th Nov
Practice notes
Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...
Read More >
29th Nov
Practice notes
Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...
Read More >
29th Nov
Practice notes
There are approximately 19,000 Financial Conduct Authority (FCA) regulated firms under the post-FSA regulatory structure, which has been in place...
Read More >
29th Nov
Practice notes
Where authorised firms cease to carry out regulated activities, their Part 4A permission will be cancelled. The Financial Conduct Authority (FCA) can...
Read More >
29th Nov
Practice notes
Introduction to the authorisation process for electronic money institutionsThe recast Directive 2007/64/EC, the Electronic Money Directive (2EMD)...
Read More >
29th Nov
Practice notes
What is passporting?UK authorised firms may be eligible to carry out permitted activities in another European Economic Area (EEA) state if they fulfil...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP 29th Nov
Practice notes
Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and proposed controllers to seek approval from the Financial...
Read More >
29th Nov
Q&As
This Q&A explains when and how a UK firm should apply for authorisation or a variation of permission (VoP) under the revised and recast Markets in...
Read More >
28th Nov
Q&As
Our Practice Notes Obligations of controllers—acquiring and increasing control and Obligations of controllers—reducing or ceasing control set out...
Read More >
28th Nov

Popular documents