Notifications and applications

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This Overview is a guide to the Financial Services content within the Notifications and applications subtopic, with links to the appropriate materials.

This Overview provides a summary of the requirements for firms to notify the regulator in relation to key information changes and lists all the relevant Practice Notes that readers can access for obtaining detailed information.

The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) are the UK's regulators for investments, banking, insurance, listing and other financial services matters. The FCA and the PRA authorise and regulate different financial services businesses in the UK including banks, insurance companies and fund managers.

The regulators hold certain information about the firms that they regulate. If there are any changes in the information of these firms, such as a change of control or a change to its close links, the regulators must be notified. The Financial Services Register provides details of the firms, individuals and other bodies that are, or have been, regulated by the PRA and/or the FCA.

Firms can also make applications to the regulators, for example if they want to apply for a Part 4A permission

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Latest Financial Services News

The FCA’s new Enforcement Guide has landed–including its new investigations publicity policy

Financial services analysis: Sara Cody, knowledge consultant at Linklaters analyses the Financial Conduct Authority’s (FCA) new Enforcement Guide (ENFG), considering what has changed in the FCA’s approach to publicising investigations and outlining other significant changes.

FCA updates fund authorisation processing timeframes

The Financial Conduct Authority (FCA) has published updated processing times for fund authorisations. Under the current requirements, complete applications for Non-UCITS Retail Schemes (NURS), Qualified Investor Schemes (QIS), and Long-Term Asset Funds (LTAF) must be processed within six months, while UK UCITS applications must be processed within two months. The FCA also aims to accelerate these timeframes by processing NURS applications within two months, QIS within one month, and LTAF applications within three months of receiving complete submissions.

IFRS Foundation publishes jurisdictional profiles to document adoption progress of ISSB Standards

The International Financial Reporting Standards (IFRS) Foundation has published 17 jurisdictional profiles detailing global progress on adoption of the IFRS Sustainability Disclosure Standards (ISSB Standards). The profiles reveal that 14 jurisdictions have committed to fully adopting the ISSB Standards, two aim to adopt the climate-specific requirements, and one plans to partially incorporate the standards. Complementing these profiles are 16 additional snapshots that provide an overview of regulatory approaches still to be finalised. Designed to enhance transparency for capital markets and serve as an authoritative reference for stakeholders, these profiles underscore significant global alignment with the ISSB Standards.

FCA announces UK government’s measures to boost growth and revitalise financial regulation

The Financial Conduct Authority (FCA) has announced the UK government’s approach aimed at bolstering economic growth and enhancing the financial services sector. These measures include simplification of regulatory procedures by stripping out data requests and retiring outdated supervisory documents, as well as introducing a new private stock market and streamlining the insurance rulebook. In addition, a roadmap for crypto regulation and initiatives to reimagine financial advice and guidance have been set out to stimulate investment and home ownership.

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