Obtaining authorisation and fees

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Practice notes
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 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 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)—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 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 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?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 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)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 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 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 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 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 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—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 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 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 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 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 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 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 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 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 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 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 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 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 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 provisionsThis Practice Note explores the measures in the Alternative Investment Fund...
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11th Aug
Practice notes
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 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 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 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 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 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?This Q&A explains when and how a UK firm should...
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11th Aug

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