Notifications and applications

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
FCA: Treating Customers Fairly—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Collective investment schemes—essentialsThis Practice Note examines the definition of a collective investment scheme (CIS) and available exemptions,...
Read More >
19th May
Practice notes
Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
Read More >
19th May
Practice notes
What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
Read More >
19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
Read More >
Produced in partnership with John Ahern 19th May
Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
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...
Read More >
19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
Read More >
19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Read More >
Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
Read More >
19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
Read More >
19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
Read More >
19th May
Practice notes
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Morrison & Foerster 19th May

Most recent Notifications and applications content

Q&As
As a relevant authorised person (a regulated firm), when do you have to make a notification to the FCA regarding the conduct of approved persons?For...
Read More >
31st Jul
Q&As
When and how should a UK firm apply for authorisation or a variation of permission under MiFID II?This Q&A explains when and how a UK firm should...
Read More >
31st Jul
Q&As
What are the notification requirements for a change in control of a firm?Our Practice Notes Obligations of controllers—acquiring and increasing...
Read More >
31st Jul
Practice notes
FCA and PRA authorisation under Part 4A of FSMA 2000According to provisions in Part 4A of the Financial Services and Markets Act 2000 (FSMA 2000), any...
Read More >
31st Jul
Practice notes
A principal's responsibility for its appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
31st Jul
Practice notes
Payment Services Regulations 2017—authorisation and passporting rightsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
Read More >
31st Jul
Practice notes
Financial Conduct Authority—cancelling permission and requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
31st Jul
Practice notes
Prudential Regulation Authority—varying permission BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
31st Jul
Practice notes
Applying for passportingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe 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...
Read More >
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...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes
E-money—passporting, outsourcing and use of distributors and agentsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
31st Jul
Practice notes
The Connect systemBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes
Prudential Regulation Authority—cancelling permission and requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
Read More >
31st Jul
Practice notes
Changing standing dataBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
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...
Read More >
31st Jul
Practice notes
Authorisation, registration, variation and cancellation of electronic money institutionsIntroduction to the authorisation process for electronic money...
Read More >
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...
Read More >
31st Jul
Practice notes
Applying for variations and waiversBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
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...
Read More >
31st Jul

Popular documents