Conduct requirements

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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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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
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
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
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
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
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
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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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 European Systemic Risk BoardBREXIT: 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
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
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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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
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

Most recent Conduct requirements content

Practice notes
Mortgage and home finance conduct of business—application and general requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked...
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19th Aug
Practice notes
Mortgage and home finance conduct of business—financial promotion and communications regimeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion...
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19th 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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16th Aug
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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12th Aug
Practice notes
Insurance Distribution Directive (IDD)—organisational and conduct of business requirementsIDD organisational and conduct of business...
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12th Aug
Practice notes
Insurance Distribution Directive (IDD)—insurance-based investment productsInsurance-based investment products—overviewThe Directive (EU) 2016/97,...
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12th Aug
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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11th Aug
Practice notes
FCA suitability rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
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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11th Aug
Practice notes
Financial Promotions Order: Exemptions for financial services practiceThis Practice Note looks at exemptions from the financial promotion restriction...
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Produced in partnership with 4-5 Gray's Inn Square 11th Aug
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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11th Aug
Practice notes
Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
Financial Promotions Order: Exemptions for deposits and insuranceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Practice notes
Promotion of unregulated collective investment schemes (UCIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
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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11th Aug
Practice notes
Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
Insurance conduct of business—cancellation rights and claims handlingImplementation of the Insurance: Conduct of Business Sourcebook (ICOBS)On 6...
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11th Aug
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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11th Aug
Practice notes
Retail product distributionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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Produced in partnership with Dentons 11th Aug
Practice notes
Retail Distribution Review and the regulatorBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug

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