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Practice notes
Remuneration Code for BIPRU firmsBREXIT: 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
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 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
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
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
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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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
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
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
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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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

Most recent Investor compensation and redress content

Practice notes
An insolvency lawyer’s guide to the Financial Services Compensation SchemeThis Practice Note provides an overview of the role and operation of the...
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27th Jul
Practice notes
Investor Compensation Schemes DirectiveBackground to the Investor Compensation Schemes DirectiveThe Investor Compensation Schemes Directive (EC) 97/9...
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12th Jul
Practice notes
The Financial Services Compensation SchemeBREXIT: 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 12th Jul
Practice notes
Consumer Redress SchemesBREXIT: 11 pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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8th Jul
Practice notes
Financial Services Compensation Scheme (FSCS)—payment or rejection of compensationThere are different regimes under the Financial Services...
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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...
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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
Impact of Brexit: Deposit Guarantee Schemes—quick guideThis Brexit Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD) quick guide details UK...
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5th Jun
Practice notes
Financial Services Compensation Scheme (FSCS)—fundingThe powers of the Financial Services Compensation Scheme (FSCS) to raise funds from the regulated...
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Produced in partnership with Honor Levy of LexisNexis 5th Jun
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 5th Jun
Practice notes
The Deposit Guarantee Schemes DirectiveThis Practice Note discusses the key provisions of the Deposit Guarantee Schemes Directive 2014/49/EU (EU...
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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
Practice notes
Financial Services Compensation Scheme (FSCS)—automatic assignment or subrogation of rightsSince 1 April 2013, when making a claim for compensation to...
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Produced in partnership with Honor Levy of LexisNexis 5th Jun

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