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

AML: FATF plenary approves revised standards on payment transparency and guidance on financial inclusion and RBA

The latest Financial Action Task Force (FATF) plenary has announced, among other developments, that it has approved revisions to Recommendation 16 of the FATF Standards on strengthening payment transparency, in addition to endorsing new guidance on financial inclusion and the risk-based approach (RBA). The guidance includes approaches to address de-risking and the application of simplified due diligence (SDD). At the same time, the FATF has revised its assessment methodology to bring it in line with changes to Recommendation 1 of its Standards.

EBA publishes final draft technical standards on operational risk

The European Banking Authority (EBA) has published three final draft technical standards for the implementation of the EU Banking Package. They will allow supervisors to monitor institutions’ compliance, in order to promote consistent and enhanced supervision. The EBA is seeking to ensure comprehensive and accurate representation of operational risk in banks' financial statements.

Financial Services—other developments (16/06/2025)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

Government to exempt domestic premises suppliers from requiring credit broking permissions to offer BNPL

HM Treasury (HMT) has announced that, following industry and Financial Conduct Authority (FCA) engagement, the government has decided to exempt domestic premises suppliers from requiring credit broking permissions to offer buy-now, pay-later (BNPL) products as a payment option.

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