FCA conduct risk requirements

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Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
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
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
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
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
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
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
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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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 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
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
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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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
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 conduct risk requirements content

Practice notes
Implications arising from the key drivers of retail conduct riskConduct risk is the corner stone of the Financial Conduct Authority's (FCA) regulatory...
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Produced in partnership with Rosanna Bryant of Addleshaw Goddard 5th Jun
Practice notes
Key drivers of retail conduct riskRegulatory focus on conduct riskThe Financial Conduct Authority's (FCA) focus on conduct risk looks at a complicated...
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Produced in partnership with Rosanna Bryant of Addleshaw Goddard 5th Jun
Practice notes
Evolution and examples of retail conduct riskBackground to the concept of conduct riskConduct risk has been a corner stone of the Financial Conduct...
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Produced in partnership with Rosanna Bryant of Addleshaw Goddard 5th Jun
Practice notes
Approach to, and key drivers of wholesale and retail conduct riskBackgroundOn 1 April 2013, the Financial Conduct Authority (FCA) became responsible...
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Produced in partnership with Anne Mainwaring of Ashursts 5th Jun

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