Obtaining authorisation and fees

View Financial Services by content type:

Featured Financial Services content

Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
Read More >
16th Oct
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
15th Oct
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
Read More >
5th Oct
Practice notes
Brexit; As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
Produced in partnership with Morrison & Foerster LLP 5th Oct
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
Read More >
5th Oct
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
Read More >
5th Oct
Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
Read More >
27th Sep
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
26th Sep
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
26th Sep
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
Read More >
26th Sep
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
Read More >
26th Sep
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
Read More >
26th Sep
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
Read More >
26th Sep
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
Read More >
25th Sep
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
Read More >
25th Sep
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
Read More >
25th Sep

Most recent Obtaining authorisation and fees content

Practice notes
Background to the implementation of the Acquisitions DirectivePrior to the implementation of the Acquisitions Directive (Directive 2007/44/EC) in...
Read More >
25th Sep
Practice notes
Authorised people can only carry out regulated activities in the UK in accordance with their permission. Where people intend to change how they carry...
Read More >
25th Sep
Practice notes
This Practice Note looks at the powers of the Prudential Regulation Authority (PRA) to impose and vary requirements. For guidance on the cancellation...
Read More >
25th Sep
Practice notes
The right to gain authorisation from the Financial Conduct Authority (FCA) in the UK is not limited to UK firms. Incoming EEA firms, Treaty firms and...
Read More >
25th Sep
Practice notes
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
25th Sep
Practice notes
This Practice Note looks at the powers of the Financial Conduct Authority (FCA) to impose and vary requirements. For guidance on the cancellation of...
Read More >
25th Sep
Practice notes
How should a firm prepare for authorisation? This Practice Note highlights some of the issues firms need to think about and address while preparing to...
Read More >
25th Sep
Practice notes
All Financial Conduct Authority (FCA) authorised firms are required to maintain a set of minimum standards in order to become and remain authorised....
Read More >
25th Sep
Practice notes
All Prudential Regulation Authority (PRA) authorised firms are required to maintain a set of minimum standards in order to become and remain...
Read More >
26th Sep
Practice notes
This Practice Note sets out the passporting rights and related notification requirements of credit intermediaries established in the European Economic...
Read More >
26th Sep
Practice notes
What is passporting?UK authorised firms may be eligible to carry out permitted activities in another European Economic Area (EEA) state if they fulfil...
Read More >
26th Sep
Practice notes
This Practice Note sets out the passporting rights and related notification requirements of insurance undertakings established in the European...
Read More >
26th Sep
Practice notes
Single market passporting regime—CRD IVAmong the European Union’s (EU) core goals has been the development of the internal market, specifically to...
Read More >
26th Sep
Practice notes
This Practice Note focuses purely on procedural requirements for firms wishing to exercise passporting rights and Treaty rights in the UK. For further...
Read More >
26th Sep
Practice notes
Introduction to the FCA authorisation processPreparing an application for Financial Conduct Authority (FCA) authorisation is a challenging task. Many...
Read More >
26th Sep
Practice notes
This Practice Note highlights some of the issues firms need to think about and address while preparing to apply for authorisation to carry on...
Read More >
26th Sep
Practice notes
Firms who wish to carry one or more PRA-regulated activities as set out in the Financial Services and Markets Act 2000 (Regulated Activities) Order...
Read More >
26th Sep
Q&As
This Q&A explains when and how a UK firm should apply for authorisation or a variation of permission (VoP) under the revised and recast Markets in...
Read More >
28th Sep
Practice notes
The general objective of the Prudential Regulation Authority (PRA) is to promote the safety and soundness of the firms it regulates. Its objectives...
Read More >
5th Oct
Practice notes
Authorised people can only carry out regulated activities in the UK in accordance with their permission. Where people intend to change how they carry...
Read More >
5th Oct

Popular documents