Notifications and applications

Copyright © 2025 LexisNexis

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

To view the latest version of this document and thousands of others like it, sign-in with LexisNexis or register for a free trial.

Existing user? Sign-in TAKE A FREE TRIAL
Powered by Lexis+®
Latest Financial Services News

FCA publishes updated policy statement on statutory investigations into regulatory failure and producing reports

The Financial Conduct Authority (FCA) has published an updated policy statement on statutory investigations into regulatory failure and the production of reports, setting out the circumstances in which the FCA must investigate and report to HM Treasury (HMT) under Part 5 of the Financial Services Act 2012. The revised statement reflects developments since 2013 and incorporates a secondary objective requiring the FCA to support the international competitiveness and long-term growth of the UK economy. The updated statement applies to events occurring on or after 14 November 2025.

PRA publishes discussion paper on enabling UK life insurers to access alternative life capital

The Prudential Regulation Authority (PRA) has published Discussion Paper 2/25, seeking views on potential policy changes to help UK life insurers access third-party capital beyond traditional equity or debt issuance. The paper explores Insurance Linked Securities (ILS), Significant Risk Transfers (SRTs) and life insurance sidecars to improve funding flexibility while maintaining policyholder protection. Responses are sought by 6 February 2026.

OFSI issues General Licence INT/2025/7895596

The Office of Financial Sanctions Implementation (OFSI) has issued General Licence INT/2025/7895596 under regulation 64 of the Russia (Sanctions) (EU Exit) Regulations 2019, SI 2019/855. The licence allows for the continuation of business operations involving Lukoil Bulgaria EOOD and Lukoil Neftochim Burgas AD, and any entities they own or control. The licence permits payments to or from the Lukoil Bulgaria entities under existing or new contracts, payments to or from other persons under such contracts, and the provision or receipt of economic resources from the Lukoil Bulgaria entities. The licence is effective from 14 November 2025 and expires on 14 February 2026.

Financial Services—other developments (14/11/2025)

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.

View Financial Services by content type :  
News
Practice notes
Precedents
Q&As

Popular documents

What is the difference between an appeal and a review?

What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements[Insert addressee details]Dear [insert name][It is our understanding that [insert name of prospective employee] [was an employee of yours between the dates of [insert dates as appropriate] OR is a current employee of
What is the difference between an appeal and a review?

What is the difference between an appeal and a review?

What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a

Late payment penalties—inheritance tax

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements[Insert addressee details]Dear [insert name][It is our understanding that [insert name of prospective employee] [was an employee of yours between the dates of [insert dates as appropriate] OR is a current employee of