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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
FCA: Treating Customers Fairly—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....
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19th May
Practice notes
Consumer protection—FCA and other regulatory 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—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 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
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
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
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
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
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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...
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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...
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Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May
Practice notes
Appointed representativesBREXIT: 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
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Banking regulation essentials content

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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21st Jul
Practice notes
Banking regulation—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in USA published as part of the...
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13th Jul
Practice notes
Banking regulation—Sri Lanka—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sri Lanka published as...
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13th Jul
Practice notes
Banking regulation—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in United Kingdom...
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13th Jul
Practice notes
Banking regulation—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Switzerland published...
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13th Jul
Practice notes
Banking regulation—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sweden published as part of...
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13th Jul
Practice notes
Banking regulation—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Australia published as...
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13th Jul
Practice notes
Banking regulation—China—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in China published as part of...
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13th Jul
Practice notes
Banking regulation—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Greece published as part of...
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13th Jul
Practice notes
Banking regulation—Egypt—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Egypt published as part of...
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13th Jul
Practice notes
Banking regulation—Ghana—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Ghana published as part of...
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13th Jul
Practice notes
Banking regulation—India—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in India published as part of...
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13th Jul
Practice notes
Banking regulation—Ireland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Ireland published as part...
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13th Jul
Practice notes
Banking regulation—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Japan published as part of...
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13th Jul
Practice notes
Banking regulation—Luxembourg—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Luxembourg published as...
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13th Jul
Practice notes
Banking regulation—Indonesia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Indonesia published as...
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13th Jul
Practice notes
Banking regulation—Lebanon—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Lebanon published as part...
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13th Jul
Practice notes
Banking regulation—Monaco—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Monaco published as part of...
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13th Jul
Practice notes
Banking regulation—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Singapore published as...
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13th Jul
Practice notes
Banking regulation—Andorra—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Andorra published as part...
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13th Jul

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