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Practice notes
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
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 19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes
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
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
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
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
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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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
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent Complaints against firms—financial services content

Practice notes
Mis-selling interest rate hedging products—a guide for R&I lawyersIntroductionPrior to September 2008, numerous small and medium-sized enterprises...
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Produced in partnership with Matthew Shankland and Sarah Lainchbury of Sidley Austin LLP 27th Jul
Practice notes
Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
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7th Jun
Practice notes
Super complaints to the FCABackground to super complaintsThe Financial Services Act 2012 amended the Financial Services and Markets Act 2000 (FSMA...
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5th Jun
Practice notes
Financial Ombudsman Service—compulsory jurisdictionBREXIT: 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 5th Jun
Practice notes
Financial services and judicial reviewThe evolution of judicial review cases within the financial services sectorJudicial review is the procedure by...
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Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun
Practice notes
Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
Financial Ombudsman Service—voluntary jurisdictionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
Action for damages under FSMA 2000This Practice Note explains the rights held by certain categories of person to sue authorised firms in circumstances...
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5th Jun
Practice notes
The Alternative Dispute Resolution Directive for FS lawyersIntroduction to the ADR DirectiveThe Directive on Alternative Dispute Resolution for...
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5th Jun
Practice notes
The complaint-handling process of the Financial Ombudsman ServiceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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5th Jun
Practice notes
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
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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5th Jun
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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5th Jun
Practice notes
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 5th Jun
Practice notes
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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5th Jun
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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5th Jun

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