Complaints, compensation and claims management

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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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Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
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
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
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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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
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...
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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
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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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 covers the conditions necessary for the payment of compensation to a person by the Financial Services Compensation Scheme...
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Produced in partnership with Honor Levy of LexisNexis 8th Jan
Practice notes
Settlement decision making procedureLike the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) has a formal settlement...
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Produced in partnership with Sarah Clarke of 3 Serjeants’ Inn 8th Jan
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 Honor Levy of LexisNexis 8th Jan
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 8th Jan
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...
Read More >
Produced in partnership with Honor Levy of LexisNexis 8th Jan
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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Produced in partnership with Honor Levy of LexisNexis 8th Jan
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 8th Jan
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 8th Jan
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 (Europe) LLP 8th Jan
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 Jan
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 8th Jan
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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Produced in partnership with Sarah Clarke of 3 Serjeants’ Inn 8th Jan
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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6th Jan
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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27th Dec
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 Dec
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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24th Dec
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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24th Dec
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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24th Dec
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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24th Dec
Practice notes
This Practice Note explains the rights held by certain categories of person to sue authorised firms in circumstances in which they have suffered a...
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24th Dec

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