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Latest Financial Services News

Path to COP26—Net Zero Disputes—key risks

Path to COP26—Net Zero Disputes—key risks

The following Banking & Finance news provides comprehensive and up to date legal information on Path to COP26—Net Zero Disputes—key risks

FCA probes Monzo bank over potential AML breaches

FCA probes Monzo bank over potential AML breaches

The following Corporate Crime news provides comprehensive and up to date legal information on FCA probes Monzo bank over potential AML breaches

Lloyd’s Europe’s operations highlight challenges for UK insurers

Lloyd’s Europe’s operations highlight challenges for UK insurers

The following EU Law news provides comprehensive and up to date legal information on Lloyd’s Europe’s operations highlight challenges for UK insurers

Ireland—business interruption disputes focus of 17 percent of ombudsman claims

Ireland—business interruption disputes focus of 17 percent of ombudsman claims

The following EU Law news provides comprehensive and up to date legal information on Ireland—business interruption disputes focus of 17 percent of ombudsman claims

Featured Financial Services content

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...

Practice notes

FCA: Treating Customers Fairly—essentials

FCA: Treating Customers Fairly—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Collective investment schemes—essentials

Collective investment schemes—essentialsThis Practice Note examines the definition of a collective investment scheme (CIS) and available exemptions,...
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19th May
Practice notes

Introduction to the FCA COBS 4 rules

Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th May
Practice notes

What is credit and what is a regulated consumer credit agreement?

What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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19th May
Practice notes

Threshold conditions under FSMA 2000

Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes

Consumer protection—FCA and other regulatory requirements

Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

PRA-regulated activities and the scope of PRA regulation

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...
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19th May
Practice notes

Regulated mortgage contracts and home finance transactions defined

Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes

The Financial Services Compensation Scheme

The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

The general prohibition and implications of its breach

The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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19th May
Practice notes

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
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Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May
Practice notes

USA—Introduction to state securities (blue sky) laws

USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes

Regulatory capital—purpose, quantity and quality

Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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?

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...
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31st Jul
Q&As

When and how should a UK firm apply for authorisation or a variation of permission under MiFID II?

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...
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31st Jul
Q&As

What are the notification requirements for a change in control of a firm?

What are the notification requirements for a change in control of a firm?Our Practice Notes Obligations of controllers—acquiring and increasing...
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31st Jul
Practice notes

FCA and PRA authorisation under Part 4A of FSMA 2000

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...
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31st Jul
Practice notes

A principal's responsibility for its appointed representatives

A principal's responsibility for its appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Practice notes

Payment Services Regulations 2017—authorisation and passporting rights

Payment Services Regulations 2017—authorisation and passporting rightsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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31st Jul
Practice notes

Financial Conduct Authority—cancelling permission and requirements

Financial Conduct Authority—cancelling permission and requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Practice notes

Prudential Regulation Authority—varying permission

Prudential Regulation Authority—varying permission BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes

Applying for passporting

Applying for passportingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes

FSMA 2000 controllers regime—obligations for firms

FSMA 2000 controllers regime—obligations for firmsPart XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires controllers and...
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31st Jul
Practice notes

Authorised firms and close links

Authorised firms and close linksBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes

E-money—passporting, outsourcing and use of distributors and agents

E-money—passporting, outsourcing and use of distributors and agentsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Practice notes

The Connect system

The Connect systemBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes

Prudential Regulation Authority—cancelling permission and requirements

Prudential Regulation Authority—cancelling permission and requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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31st Jul
Practice notes

Changing standing data

Changing standing dataBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes

Obligations of controllers—acquiring and increasing control

Obligations of controllers—acquiring and increasing controlBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes

Authorisation, registration, variation and cancellation of electronic money institutions

Authorisation, registration, variation and cancellation of electronic money institutionsIntroduction to the authorisation process for electronic money...
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31st Jul
Practice notes

Obligations of controllers—reducing or ceasing control

Obligations of controllers—reducing or ceasing controlBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes

Applying for variations and waivers

Applying for variations and waiversBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
Practice notes

FSMA 2000 controllers regime—fund managers

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

ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and dutiesThe scope of article 5(4) Article 5(4) of the European Convention of Human Rights (ECHR) provides that: 'Everyone who is deprived of his liberty by arrest or detention shall be entitled to take proceedings by which the lawfulness of his detention shall be decided

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiries

Capital allowances on property sales—pre-contract enquiriesThis Practice Note is about capital allowance-related pre-contract enquiries on a property transfer. It applies to the grant of a new property interest (eg a lease) as well as to the acquisition of an existing lease or freehold.For clauses

Stay of proceedings—when can you apply to stay a claim?

Stay of proceedings—when can you apply to stay a claim?

Stay of proceedings—when can you apply to stay a claim?This Practice Note considers the question of when court proceedings can be stayed. It identifies scenarios in which a party may apply for a stay of proceedings, including to allow for: a jurisdictional challenge; arbitration; an attempt to

Involuntary manslaughter

Involuntary manslaughter

Involuntary manslaughterInvoluntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element—hence the label voluntary manslaughter) but