Understanding regulatory expectations can be challenging, but practical insights tailored for financial services professionals can help. By addressing issues like compliance, reporting obligations, and ethical conduct, this resource empowers legal teams to stay ahead of evolving standards and uphold best practices within the sector. Whether dealing with customer interactions or internal governance, this guidance provides streamlined, actionable strategies to meet conduct requirements effectively.
Law360, Expert Analysis: The European Securities and Markets Authority (ESMA) fined trade repository REGIS-TR in a decision issued on 17 February...
Corporate Crime analysis: The Office of Financial Sanctions Implementation (OFSI) has published its strategy for 2026–2029, setting out the key policy...
A round-up of financial services developments....
The Financial Conduct Authority (FCA) has published Handbook Notice 140, setting out changes to the FCA Handbook made by the FCA board on 26 March and...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...
Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some
Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application
Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an
Glossary—Latin legal termsDespite attempts in recent years to simplify the language used in legal cases, there are still a number of Latin phrases commonly used in personal injury claims. The following Latin phrases are listed in alphabetical order:Latin
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