Complaints, compensation and claims management

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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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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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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
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: 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
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
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
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
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
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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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
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
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
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 >
Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
Practice notes
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...
Read More >
9th Nov

Most recent Complaints, compensation and claims management content

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
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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4th 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
Background to the FCA regulation of claims management activitiesThe Claims Management Regulation Unit (CMRU) was established within the Ministry of...
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1st Mar
Practice notes
Since 2015, the courts have grappled with the claimant argument that financial institutions owe duties of care in tort directly to their customers in...
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Produced in partnership with Herbert Smith Freehills LLP of John Corrie, Ben Goodman, Dan Eziefula and Ceri Morgan 1st Mar
Practice notes
In addition to powers granted under the Financial Services and Markets Act 2000 (FSMA 2000), the Financial Conduct Authority (FCA) and the Prudential...
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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
This Practice Note explains the rights held by certain categories of person to sue authorised firms in circumstances in which they have suffered a...
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1st Mar
Practice notes
Settlement decision making procedureLike the Financial Conduct Authority (FCA), the Prudential Regulation Authority (PRA) has a formal settlement...
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Produced in partnership with Sarah Clarke of 3 Serjeants’ Inn 1st Mar
Practice notes
Background to the Complaints SchemePart 6 of the Financial Services Act 2012 (FSA 2012) requires the Bank of England, the Financial Conduct Authority...
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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 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
Professional privilege—core principlesThe core aim of privilege is to protect the confidentiality of communications between clients and their lawyers....
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13th 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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