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Practice notes
What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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19th May
Practice notes
Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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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
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
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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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
FCA client money 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
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
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 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
Appointed representativesBREXIT: 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
FCA inducements 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
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Conduct requirements content

Practice notes
Outsourcing in the insurance sectorThis Practice Note examines outsourcing in the insurance sector. The related documents pod on the right includes...
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1st Aug
Practice notes
Insurance Distribution Directive (IDD)—Insurance Product Information Document requirementsIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the...
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1st Aug
Practice notes
Insurance Distribution Directive (IDD)—insurance-based investment productsInsurance-based investment products—overviewThe Directive (EU) 2016/97,...
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1st Aug
Practice notes
Insurance Distribution Directive (IDD)—organisational and conduct of business requirementsIDD organisational and conduct of business...
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1st Aug
Practice notes
Insurance Distribution Directive (IDD)—essentialsThis Practice Note provides an overview of the IDD and the UK’s implementation of it. Following the...
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1st Aug
Q&As
What is crowdfunding?Main conceptThe basic premise of crowdfunding is that, rather than targeting a few select investors to finance a project,...
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31st Jul
Q&As
Is a commercial organisation required by the GDPR or any other data/privacy regulation to notify a customer via a recorded message at the start of a...
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Produced in partnership with Peter Steel of Augury Consulting Limited 31st Jul
Q&As
What changes were made to the financial promotion regime by the Financial Services Act 2012?This is an introduction to the restrictions on financial...
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31st Jul
Q&As
Are share plan administrators included in the exemption under the Financial Promotions Order, SI 2005/1529, art 60?Any communication to an employee in...
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31st Jul
Q&As
What constitutes a financial promotion under section 21 of the Financial Services and Markets Act 2000 and are there any exemptions?Financial...
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31st Jul
Q&As
What information would it be useful to consider when looking at issues surrounding financial promotion?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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31st Jul
Q&As
What do I need to consider in promoting insurance products online?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Q&As
Do debt collection firms need specific Financial Conduct Authority authorisation to collect client money?For the purposes of this Q&A, we presume that...
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31st Jul
Practice notes
Payments to platformsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul

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