Complaints, compensation and claims management

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Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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21st Oct
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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19th Oct
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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5th Oct
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...
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5th Oct
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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1st Oct
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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26th Sep
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 >
26th Sep
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. For...
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26th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...
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25th Sep
Practice notes
Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...
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25th Sep
Practice notes
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
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25th Sep
Practice notes
In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...
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25th Sep
Practice notes
Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...
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25th Sep
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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25th Sep
Practice notes
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...
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25th Sep

Most recent Complaints, compensation and claims management content

Practice notes
Background to the FCA regulation of claims management activitiesThe Claims Management Regulation Unit (CMRU) was established within the Ministry of...
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25th Sep
Practice notes
The evolution of judicial review cases within the financial services sectorJudicial review is the procedure by which courts in England and Wales...
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25th Sep
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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25th Sep
Practice notes
The Financial Services Compensation Scheme (FSCS) came into force on 1 December 2001 (although still covers claims from before that date) and is...
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25th Sep
Practice notes
The time limits which apply to a complaint taken to the Financial Ombudsman Service (FOS) are set out in Chapter two of the Financial Conduct...
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25th Sep
Practice notes
Since 2015, the courts have grappled with the claimant argument that financial institutions owe duties of care in tort directly to their customers in...
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25th Sep
Practice notes
There are different regimes under the Financial Services Compensation Scheme (FSCS) system for deposit claims, non-deposit claims and insurance...
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25th Sep
Practice notes
The complaint-handling procedures of the Financial Ombudsman Service (FOS) are published as part of the Financial Conduct Authority's (FCA) Handbook,...
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25th Sep
Practice notes
IntroductionPrior to September 2008, numerous small and medium-sized enterprises (SMEs) entered into interest rate hedging products (IRHPs) to support...
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25th Sep
Practice notes
Publicity during FCA investigationsThe Financial Conduct Authority (FCA) do not normally comment on whether they are investigating an issue. They may,...
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25th Sep
Practice notes
Settlement decision making procedureLike the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) has a formal settlement...
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25th Sep
Practice notes
The powers of the Financial Services Compensation Scheme (FSCS) to raise funds from the regulated community are contained in Chapter 6 of the FEES...
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25th Sep
Practice notes
Background to the Joint Board of Appeal of the European Supervisory AuthoritiesThe Joint Board of Appeal of the European Supervisory Authorities...
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25th Sep
Practice notes
What is a consumer redress scheme?Rule making powers came into force in 2010 which afforded the predecessor to the Financial Conduct Authority (FCA),...
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25th Sep
Practice notes
Background to the Investor Compensation Schemes DirectiveThe Investor Compensation Schemes Directive (EC) 97/9 (ICSD) is one of two existing EU...
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25th Sep
Practice notes
Since 1 April 2013, when making a claim for compensation to the Financial Services Compensation Scheme (FSCS), it is no longer necessary for the FSCS...
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25th Sep
Practice notes
Purpose of the Financial Ombudsman ServiceThe Financial Ombudsman Service (FOS) is an independent dispute resolution scheme that exists to assist...
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25th Sep
Practice notes
Decision making committeesDecisions as to whether to give a statutory notice will be taken by an appropriate decision making committee (DMC). There...
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25th Sep
Practice notes
Background to super complaintsThe Financial Services Act 2012 amended the Financial Services and Markets Act 2000 (FSMA 2000) by introducing two new...
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26th Sep
Practice notes
The Financial Ombudsman Service (FOS) has two areas of jurisdiction:•the compulsory jurisdiction (ie the jurisdiction of the FOS to which firms...
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26th Sep

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