Reporting

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
Read More >
Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
Read More >
19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Macfarlanes 19th May
Practice notes
FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
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...
Read More >
19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Read More >
Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
Read More >
19th May
Practice notes
Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
Read More >
19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
Read More >
19th May
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May

Most recent Reporting content

Q&As
What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the...
Read More >
31st Jul
Practice notes
General reporting requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
Practice notes
Obligations to report money laundering and other suspicious transactionsReporting money laundering under the Proceeds of Crime Act 2002 (POCA 2002)The...
Read More >
31st Jul
Practice notes
MIFID II & MIFIR—Transaction ReportingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
31st Jul
Practice notes
MiFID I—Transaction reportingThis Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in...
Read More >
31st Jul

Popular documents