Complaints, compensation and claims management

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Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
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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
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IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
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Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
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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
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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
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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
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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
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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
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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
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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
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Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
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Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
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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
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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
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FCA inducements 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

Most recent Complaints, compensation and claims management content

Practice notes
Financial Ombudsman Service—remediesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
SM&CR—essentials for claims management companiesIntroductionThe Financial Conduct Authority (FCA) took over regulation of the claims management sector...
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31st Jul
Practice notes
FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 31st Jul
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UK regulators—non-FSMA enforcement powersIn addition to powers granted under the Financial Services and Markets Act 2000 (FSMA 2000), the Financial...
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31st Jul
Practice notes
Financial Ombudsman Service—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Coronavirus (COVID-19)—implications for complaints and compensationCoronavirus (COVID-19) and the associated public health measures have caused many...
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31st Jul
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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 31st Jul
Practice notes
Appealing to the Joint Board of Appeal of the European Supervisory AuthoritiesBackground to the Joint Board of Appeal of the European Supervisory...
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31st Jul
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Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
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No duty of care owed to customers in connection with FCA past business reviewsSince 2015, the courts have grappled with the claimant argument that...
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Produced in partnership with John Corrie of Herbert Smith Freehills, Ben Goodman of Herbert Smith Freehills, Dan Eziefula of Herbert Smith Freehills and Ceri Morgan of Herbert Smith Freehills 31st Jul
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Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
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31st Jul
Practice notes
Making a reference to the Upper Tribunal following an FCA decisionLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates...
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31st Jul
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Investor Compensation Schemes DirectiveBackground to the Investor Compensation Schemes DirectiveThe Investor Compensation Schemes Directive (EC) 97/9...
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31st Jul
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Complaints against UK financial services regulatorsBackground to the Complaints SchemePart 6 of the Financial Services Act 2012 (FSA 2012) requires...
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31st Jul
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Consumer Redress SchemesBREXIT: 11 pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul
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Whistleblowing—UK regulatory issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
Practice notes
Financial Services Compensation Scheme (FSCS)—automatic assignment or subrogation of rightsSince 1 April 2013, when making a claim for compensation to...
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Produced in partnership with Honor Levy of LexisNexis 31st Jul
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 31st Jul
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Financial Services Compensation Scheme (FSCS)—payment or rejection of compensationThere are different regimes under the Financial Services...
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Produced in partnership with Honor Levy of LexisNexis 31st Jul
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Financial Services Compensation Scheme (FSCS)—fundingThe powers of the Financial Services Compensation Scheme (FSCS) to raise funds from the regulated...
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Produced in partnership with Honor Levy of LexisNexis 31st Jul

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