Complaints, compensation and claims management

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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 12th Jan
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
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 12th Jan
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
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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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 information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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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
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Complaints, compensation and claims management content

Practice notes
This Practice Note discusses the key provisions of the Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD), which requires Member States to...
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9th Apr
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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8th Apr
Practice notes
IntroductionThe Financial Conduct Authority (FCA) took over regulation of the claims management sector from the Claims Management Regulator (CMR) on 1...
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8th Apr
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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Produced in partnership with Matthew Shankland and Sarah Lainchbury of Sidley Austin LLP 8th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 22nd Mar
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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18th Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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12th Mar
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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Produced in partnership with Honor Levy of LexisNexis 11th Mar
Practice notes
Introduction to the ADR DirectiveThe Directive on Alternative Dispute Resolution for consumer disputes Directive 2013/11/EU (the ADR Directive) aims...
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8th Mar
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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Produced in partnership with Orrick, Herrington & Sutcliffe 5th Mar
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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4th Mar
Practice notes
Coronavirus (COVID-19) and the associated public health measures have caused many firms serious practical challenges, including in their operations...
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1st Mar
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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1st Mar
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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1st Mar
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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Produced in partnership with Honor Levy of LexisNexis 1st Mar
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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1st Mar
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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Produced in partnership with Herbert Smith Freehills LLP of John Corrie, Ben Goodman, Dan Eziefula and Ceri Morgan 1st Mar
Practice notes
Awards by the FOSWhere a complaint to the Financial Ombudsman Service (FOS) is upheld, the FOS may order a respondent firm (the respondent) to pay...
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1st Mar
Practice notes
In addition to powers granted under the Financial Services and Markets Act 2000 (FSMA 2000), the Financial Conduct Authority (FCA) and the Prudential...
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1st Mar
Practice notes
What is an 'eligible complainant'?In order to refer a complaint to the Financial Ombudsman Service (FOS), a person must be an 'eligible complainant'....
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1st Mar

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