Investor compensation and redress

View Financial Services by content type:

News

Practice notes

Precedents

Q&As

Latest Financial Services News

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Financial Services weekly highlights—29 July 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—29 July 2021

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

The following Financial Services news provides comprehensive and up to date legal information on Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

Featured Financial Services content

Promotion of unregulated collective investment schemes (UCIS)

Promotion of unregulated collective investment schemes (UCIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Complaints handling by financial services firms

CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...

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

What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...

Practice notes

Remuneration Code for BIPRU firms

Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

19th May

Practice notes

SM&CR—FCA and PRA Fitness and Propriety requirements

SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...

Produced in partnership with John Drabble of Kemp Little LLP 19th May

Practice notes

IFPRU Remuneration Code

IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

19th May

Practice notes

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirements

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...

19th May

Practice notes

OEIC and ICVC authorisation and winding-up

OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Macfarlanes 19th May

Practice notes

Financial Ombudsman Service—eligible complainants

Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

19th May

Practice notes

FCA regulation of claims management companies—essentials

FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May

Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...

19th May

Practice notes

Interaction between the PRA, FCA and FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

19th May

Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Practice notes

The general prohibition and implications of its breach

The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...

19th May

Practice notes

FCA best execution rules

FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

19th May

In-house

Practice notes

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

19th May

In-house

Q&As

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on land or property? Prior to the implementation of the mortgage credit directive, were CCA 1974 regulated second charge mortgages over land/property subject to CONC?

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on...

Produced in partnership with Thomas Samuels of Gough Square Chambers 19th May

Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...

19th May

Practice notes

Conduct Rules for SM&CR Firms

Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May

Most recent Investor compensation and redress content

Practice notes

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

An insolvency lawyer’s guide to the Financial Services Compensation SchemeThis Practice Note provides an overview of the role and operation of the...

27th Jul

Practice notes

Investor Compensation Schemes Directive

Investor Compensation Schemes DirectiveBackground to the Investor Compensation Schemes DirectiveThe Investor Compensation Schemes Directive (EC) 97/9...

12th Jul

Practice notes

The Financial Services Compensation Scheme

The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Honor Levy of LexisNexis 12th Jul

Practice notes

Consumer Redress Schemes

Consumer Redress SchemesBREXIT: 11 pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

8th Jul

Practice notes

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

Financial Services Compensation Scheme (FSCS)—payment or rejection of compensationThere are different regimes under the Financial Services...

Produced in partnership with Honor Levy of LexisNexis 7th Jun

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?

The Financial Services Compensation Scheme (FSCS) has rejected my application for compensation even though I had obtained judgment. On what grounds...

5th Jun

Practice notes

Financial services and judicial review

Financial services and judicial reviewThe evolution of judicial review cases within the financial services sectorJudicial review is the procedure by...

Produced in partnership with Orrick, Herrington & Sutcliffe 5th Jun

Practice notes

Impact of Brexit: Deposit Guarantee Schemes—quick guide

Impact of Brexit: Deposit Guarantee Schemes—quick guideThis Brexit Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD) quick guide details UK...

5th Jun

Brexit

Practice notes

Financial Services Compensation Scheme (FSCS)—funding

Financial Services Compensation Scheme (FSCS)—fundingThe powers of the Financial Services Compensation Scheme (FSCS) to raise funds from the regulated...

Produced in partnership with Honor Levy of LexisNexis 5th Jun

Practice notes

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

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...

Produced in partnership with Honor Levy of LexisNexis 5th Jun

Practice notes

The Deposit Guarantee Schemes Directive

The Deposit Guarantee Schemes DirectiveThis Practice Note discusses the key provisions of the Deposit Guarantee Schemes Directive 2014/49/EU (EU...

5th Jun

Practice notes

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

Coronavirus (COVID-19)—implications for complaints and compensationCoronavirus (COVID-19) and the associated public health measures have caused many...

5th Jun

COVID-19

Practice notes

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

Financial Services Compensation Scheme (FSCS)—automatic assignment or subrogation of rightsSince 1 April 2013, when making a claim for compensation to...

Produced in partnership with Honor Levy of LexisNexis 5th Jun

Investor compensation and redress

View Financial Services by content type:

Latest Financial Services News

European Union and UK government initiatives on money laundering and terrorism finance

Financial Services weekly highlights—29 July 2021

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

How anti-corruption push affects US companies operating abroad

Featured Financial Services content

Promotion of unregulated collective investment schemes (UCIS)

Complaints handling by financial services firms

Financial Conduct Authority—objectives and principles

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

Most recent Investor compensation and redress content

Popular documents

Form of transfer of shares

European Insurance and Occupational Pensions Authority (EIOPA)

What is a certificate of title?

Indemnity costs orders—principles

Contact Us

Popular Links

Policies

Follow us