Investment and crowdfunding platforms

Investment and crowdfunding platforms guidance:

Increasing use of platforms Online platforms are used by advisers and, increasingly, directly by consumers, to facilitate the administration of their investment...

Practice Note

Introduction Online platforms are used by advisers and, increasingly, directly by consumers, to facilitate the administration of their investment portfolios. The term...

Practice Note

Introduction Re-registration is the process whereby an investment is transferred from one platform to another. As part of its work on platform regulation and the Retail...

Practice Note

Introduction to platform services Reform of the regulation of financial services continues apace in the UK and across the EU with the infrastructure of the financial...

Practice Note

This Practice Note looks at the Retail Distribution Review (RDR). The RDR is a regulatory initiative that was set up in June 2006 aimed to target the quality and standard...

Practice Note

This Practice Note looks at the work of the Financial Conduct authority (FCA) and its predecessor the Financial Services Authority (FSA) in relation to the retail...

Practice Note

Background The regulatory requirements applicable to the distribution of financial products by financial services providers and intermediaries in the retail markets...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...

Practice Note

Setting the scene The Financial Services Authority (FSA)'s (the predecessor to the Financial Conduct Authority (FCA))Retail Distribution Review (RDR)...

Practice Note

This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in conjunction with the...

Practice Note

Introduction As part of its consumer protection strategy, the Retail Distribution Review (RDR), the FCA continues to review the way in which it regulates platforms and...

Practice Note