Complaints against regulators—financial services

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
Read More >
19th May
Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
Read More >
Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
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...
Read More >
Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
Read More >
19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
Read More >
19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
Read More >
Produced in partnership with DLA Piper 19th May
Practice notes
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
Read More >
19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
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...
Read More >
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...
Read More >
19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
Read More >
19th May

Most recent Complaints against regulators—financial services content

Q&As
Does my firm have any redress when the FCA is in the middle of considering our authorisation application for taking too long, or in the event that the...
Read More >
25th Jun
Practice notes
Financial services and judicial reviewThe evolution of judicial review cases within the financial services sectorJudicial review is the procedure by...
Read More >
Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun
Practice notes
Appealing to the Joint Board of Appeal of the European Supervisory AuthoritiesBackground to the Joint Board of Appeal of the European Supervisory...
Read More >
5th Jun
Practice notes
Making a reference to the Upper Tribunal following an FCA decisionLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates...
Read More >
5th Jun
Practice notes
Complaints against UK financial services regulatorsBackground to the Complaints SchemePart 6 of the Financial Services Act 2012 (FSA 2012) requires...
Read More >
5th Jun

Popular documents