Investor compensation and redress

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Practice notes
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
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
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
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
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
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
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 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
Practice notes
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
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...
Read More >
9th Nov
Practice notes
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
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
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...
Read More >
9th Nov
Practice notes
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
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
Practice notes
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
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
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
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) and the associated public health measures have caused many firms serious practical challenges, including in their operations...
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1st Mar
Practice notes
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
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
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
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
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
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
This Brexit Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD) quick guide details UK legislation and retained EU legislation that were amended...
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1st Mar
Practice notes
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
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

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