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Latest Financial Services News

End of insolvency temporary provisions—introduction of new temporary provisions

End of insolvency temporary provisions—introduction of new temporary provisions

The following Banking & Finance news provides comprehensive and up to date legal information on End of insolvency temporary provisions—introduction of new temporary provisions

Financial Services weekly highlights—16 September 2021

Financial Services weekly highlights—16 September 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—16 September 2021

NatWest’s UK money laundering court case delayed once again

NatWest’s UK money laundering court case delayed once again

The following Corporate Crime news provides comprehensive and up to date legal information on NatWest’s UK money laundering court case delayed once again

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

The following Arbitration news provides comprehensive and up to date legal information on Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

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...

Practice notes

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...
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19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes

Interaction between the PRA, FCA and FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes

FCA client money rules

FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes

What are regulated activities?

What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes

FCA client classification requirements

FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes

EMIR REFIT and EMIR 2.2 roadmap

EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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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

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

The Single Rulebook

The Single RulebookBREXIT: 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 DLA Piper 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

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Obtaining authorisation and fees content

Practice notes

Requirements for the exercise of passporting and Treaty rights in the UK

Requirements for the exercise of passporting and Treaty rights in the UKBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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15th Sep
Practice notes

EU passporting and Treaty rights

EU passporting and Treaty rightsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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15th Sep
Practice notes

Exercising passport rights in the EEA under the Single Market Directives

Exercising passport rights in the EEA under the Single Market DirectivesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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Produced in partnership with Sophie van Wingarden, Senior Associate and Chris Boylan, Associate of Kemp Little LLP 15th Sep
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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8th Sep
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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19th Aug
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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11th Aug
Practice notes

EEA passporting rights under the Mortgage Credit Directive

EEA passporting rights under the Mortgage Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Rachpal Thind, Partner and Rachel O’Brien, Associate of Sidley Austin LLP 11th Aug
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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11th Aug
Practice notes

Financial Conduct Authority—imposition and variation of requirements

Financial Conduct Authority—imposition and variation of requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Practice notes

Implementation of the Acquisitions Directive

Implementation of the Acquisitions Directive BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes

Regulatory fees and levies

Regulatory fees and leviesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
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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11th Aug
Practice notes

AIFMD—the marketing of AIFs, passporting and third country provisions

AIFMD—the marketing of AIFs, passporting and third country provisionsThis Practice Note explores the measures in the Alternative Investment Fund...
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11th Aug
Practice notes

Top-up permission

Top-up permissionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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11th Aug
Practice notes

Financial Conduct Authority—varying permission

Financial Conduct Authority—varying permission Authorised people can only carry out regulated activities in the UK in accordance with their...
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11th Aug
Practice notes

Exercising passport rights under MiFID and MiFID II

Exercising passport rights under MiFID and MiFID IIBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes

Exercise of passporting rights—insurance undertakings in the EEA

Exercise of passporting rights—insurance undertakings in the EEABREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Oliver Lewis and Rachpal Thind of Sidley Austin 11th Aug
Practice notes

Prudential Regulation Authority—imposition and variation of requirements

Prudential Regulation Authority—imposition and variation of requirements BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end...
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11th Aug
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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11th Aug
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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11th Aug

Popular documents

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocolWhen considering whether and how to bring a claim for judicial review, the first step is to consider whether judicial review is be an appropriate means of addressing the issues raised by the case at hand. For further guidance, see Practice Note:

Pre-action disclosure—the application

Pre-action disclosure—the application

Pre-action disclosure—the applicationThis Practice Note provides guidance on CPR 31.16 pre-action disclosure applications, where the applicant and respondent are likely to be parties to subsequent proceedings. It provides guidance on how to make such an application for disclosure before proceedings

Working with counsel

Working with counsel

Working with counselInstructing counsel to advocate on a client’s behalf should be a matter of careful thought and preparation. The role of counsel is to provide independent objective advice and to deploy the skill of advocacy on behalf of the client. Although they are part of a team, they also

Dawn raid—who can raid my organisation and why?

Dawn raid—who can raid my organisation and why?

Dawn raid—who can raid my organisation and why?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. At this point in time (referred to in UK law as ‘IP completion day’), key transitional