FCA client asset rules

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Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
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
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
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 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
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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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
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent FCA client asset rules content

Practice notes
Special Administration for financial institutionsWhy these Regulations were introducedThe financial crisis, commencing in 2007 and marked notably by...
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Produced in partnership with Dominic McCahill of Skadden 14th Jul
Practice notes
Client money distribution and transferBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
Client Assets Resolution PackBackground to the Client Assets Resolution PackThe collapse of firms such as Lehman Brothers International (Europe)...
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5th Jun
Practice notes
Mandates and collateralWhere a client:•gives a firm power to deal with his assets (without transferring ownership) under a mandate•gives a firm an...
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5th Jun
Practice notes
FCA custody rulesBREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal...
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5th Jun
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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5th Jun
Practice notes
FCA client assets regimeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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5th Jun
Practice notes
CASS 9 and information to clientsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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5th Jun
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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5th Jun
Practice notes
FCA debt management client money requirementsBackground to the FCA’s client money requirements in relation to debt management firmsIn December 2012,...
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Produced in partnership with Marcus Bonnell and Rachael Ellis of RPC 5th Jun

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