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Investor compensation and redress

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Latest Financial Services News

Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

The following Dispute Resolution news provides comprehensive and up to date legal information on Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

HSBC beats £118m Stanford bank Ponzi scheme claim

HSBC beats £118m Stanford bank Ponzi scheme claim

The following Financial Services news provides comprehensive and up to date legal information on HSBC beats £118m Stanford bank Ponzi scheme claim

Financial sanctions guidance shows subtle policy shift

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

The following Corporate Crime news provides comprehensive and up to date legal information on SEC official says agency can help self-reporting companies dig up information, achieve 'closure' in US FCPA cases

Featured Financial Services content

What is electronic money?

What is electronic money?

BREXIT: 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 further...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

The Single Rulebook

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)

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...

Practice notes

Regulatory capital—purpose, quantity and quality

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 Morrison & Foerster LLP 12th Jan
Practice notes

Public censure by the FCA

Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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9th Nov
Practice notes

Accepting deposits

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

Basel Accord

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

Consumer protection—FCA and other regulatory requirements

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

Financial Conduct Authority—Principles for Businesses (PRIN)

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

Fair and Effective Markets Review (FEMR)—one minute guide

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 exchanges

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
tag iconIn-house
Practice notes

UCITS VI

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

European Venture Capital Funds (EuVECA) Regulation

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

Entering into a consumer hire agreement as owner

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

Authorised unit trust authorisation and winding-up

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

Second Wire Transfer Regulation (WTR2)—essentials

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

MiFID I—Transaction reporting

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

Impact of Brexit: Solvency II—quick guide

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
tag iconBrexit
Practice notes

What is credit and what is a regulated consumer credit agreement?

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 Investor compensation and redress content

Practice notes

The Deposit Guarantee Schemes Directive

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

Financial Services Compensation Scheme (FSCS)—funding

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

Financial services and judicial review

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

Coronavirus (COVID-19)—implications for complaints and compensation

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
tag iconCOVID-19
Practice notes

Financial Services Compensation Scheme (FSCS)—payment or rejection of compensation

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

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

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 1st Mar
Practice notes

Investor Compensation Schemes Directive

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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1st Mar
Practice notes

The Financial Services Compensation Scheme

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 1st Mar
Practice notes

Consumer Redress Schemes

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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1st Mar
Practice notes

Financial Services Compensation Scheme (FSCS)—automatic assignment or subrogation of rights

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 1st Mar
Practice notes

Impact of Brexit: Deposit Guarantee Schemes—quick guide

This Brexit Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD) quick guide details UK legislation and retained EU legislation that were amended...
Read More >
1st Mar
tag iconBrexit
Practice notes

An insolvency lawyer’s guide to the Financial Services Compensation Scheme

This Practice Note provides an overview of the role and operation of the Financial Services Compensation Scheme (FSCS) and the ranking of deposits...
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24th Feb
Q&As

The Financial Services Compensation Scheme (FSCS) has rejected my application for compensation even though I had obtained judgment. On what grounds can the FSCS reject my application and what recourse do I have?

Rules in Chapter 8 of the Compensation sourcebook (COMP) give the Financial Services Compensation Scheme (FSCS) the power to reject an application for...
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28th Nov

Popular documents

LEXISNEXIS

Law of the arbitration proceedings—curial law or lex arbitri (England and Wales)

This Practice Note considers the law governing the procedural law of arbitration proceedings (the curial law or lex arbitri) and how it is determined under the law of England and Wales (England and English are used as convenient shorthand).The procedural law of the arbitral proceedingsThe procedural

LEXISNEXIS

Involuntary manslaughter

Involuntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element—hence the label voluntary manslaughter) but which are reduced to

LEXISNEXIS

Acting in concert

Produced with input from Rebecca Cousin of Slaughter and May on market practice.This Practice Note summarises the rules and guidance in relation to parties who are, or may be presumed to be, acting in concert for the purposes of The City Code on Takeovers and Mergers (the Code). In particular the

LEXISNEXIS

The equity of redemption

Disposal and devolutionThe equity of redemption arises as soon as the mortgage is made. It is an interest in the land which the mortgagor can:•transfer, lease or mortgage inter vivos, or•by will (it passes on intestacy)No cloggingIt is a fundamental principle of a mortgage that there must be no clog