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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 Banks and mutuals content

Practice notes
CRD IV/CRR remuneration requirements in the EUThis Practice Note discusses the EU remuneration provisions under the Capital Requirements Directive...
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14th Sep
Practice notes
Corporate Insolvency and Governance Act 2020 moratorium and restrictions on ipso facto clauses—financial services exemptions mapThis Practice Note...
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13th Sep
Practice notes
CRD IV/CRR remuneration requirements in the UKThis Practice Note discusses the UK rules on remuneration, including those that transposed the EU...
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10th Sep
Practice notes
The EU banking package—CRD V, CRR II, BRRD II and SRMR IIA package of legislation intended to reduce risks in the EU banking sector, known as the...
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9th Sep
Practice notes
The regulated activity of issuing electronic moneyDefinitionIssuing electronic money is a regulated activity under regulation 9B of the...
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8th Sep
Practice notes
Safeguards for shareholders, creditors and counterparties under the special resolution regimeThe Bank Recovery and Resolution and Miscellaneous...
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Produced in partnership with 5th Sep
Practice notes
Special resolution regime optionsSpecial resolution regime toolkitWhen using the special resolution regime (SRR), the appropriate tool for the...
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Produced in partnership with 5th Sep
Practice notes
Powers of the authorities under the special resolution regimePowers of the authoritiesEach of the five stabilisation options under the special...
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Produced in partnership with 5th Sep
Practice notes
Special resolution regime for banks and building societies—rationale, scope, application and interpretationThe economic and legal backdropGeneral...
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Produced in partnership with 5th Sep
Practice notes
Coronavirus (COVID-19)—targeted EU banking packageThis Practice Note summarises the new targeted banking package of measures proposed by the European...
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5th Sep
Practice notes
Banking regulation—Hungary—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Hungary published as part...
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5th Sep
Practice notes
The Credit Institutions (Reorganisation and Winding Up) Directive and implementing RegulationsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion...
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5th Sep
Practice notes
Banking Reform Act secondary legislation—the Excluded Activities and Prohibitions OrderSecondary legislation relating to the Financial Services...
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5th Sep
Practice notes
The EU’s Single RulebookBackground to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than...
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Produced in partnership with DLA Piper 31st Aug
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 27th Aug
Practice notes
The Deposit Guarantee Schemes DirectiveThis Practice Note discusses the key provisions of the Deposit Guarantee Schemes Directive 2014/49/EU (EU...
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27th Aug
Practice notes
CRD IV—essentialsThis Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV...
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25th Aug
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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22nd Aug
Practice notes
Financial services firms and insolvencyBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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18th Aug
Practice notes
Tax—Finance Act 2019—progress through Parliament [Archived]This Practice Note contains information on Finance Act 2019 (FA 2019) which received Royal...
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15th Aug

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