Supervision

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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...
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9th Nov
Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
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...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 9th Nov
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...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
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...
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9th Nov
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...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
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...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 9th Nov
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...
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9th Nov
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...
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9th Nov
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 >
9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov

Most recent Supervision content

Practice notes
This Practice Note looks at the European System of Financial Supervision (ESFS) and micro-prudential supervision on an EU level. It should be read in...
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29th Nov
Practice notes
The Bank of England at the heart of the UK financial systemBREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However,...
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29th Nov
Practice notes
The PRA's strategyThe PRA and the BoEUntil 1 March 2017, the Prudential Regulation Authority (PRA), was a subsidiary company of the Bank of England...
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29th Nov
Practice notes
Regulator powers in relation to parent undertakingsAs part of the government's intention to ensure more rigorous regulatory oversight of the financial...
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29th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Pan Papakyprianou, Associate of Linklaters LLP 29th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sophie Walden of Linklaters 29th Nov
Practice notes
The PRA's strategyUp until 1 March 2017, the Prudential Regulation Authority (PRA), was a subsidiary company of the Bank of England (BoE). However,...
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29th Nov
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 >
29th Nov
Practice notes
The diagram below sets out the regulatory structure that exists in the UK for financial services, considering the roles of the Bank of England, the...
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29th Nov
Q&As
A firm which carries on regulated activities as defined in section 22 of the Financial Services and Markets Act 2000 (FSMA 2000) can only do so if it...
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28th Nov

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