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

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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11th Aug
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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11th Aug
Practice notes
Automated advice models (including ‘robo-advice’) in financial servicesAutomated financial product advisers or robo-advisers are automated computer...
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Produced in partnership with Kushal Gandhi and Charles Kerrigan of CMS 6th Aug
Practice notes
SMEs and the debt capital marketsIntroductionTraditional debt capital marketsThe debt capital markets have traditionally been used by major companies...
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3rd Aug
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
Practice notes
Retail Distribution ReviewBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul
Practice notes
Mortgage Market Review—background and implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Assessing suitability: FCA guidanceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
Practice notes
Comparative advertisingMany businesses wish to promote their goods or services by reference to those of a competitor to gain a commercial advantage....
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Produced in partnership with Paul Jordan of Bristows and Timothy Heaps of Bristows 31st Jul
Practice notes
COBS 4—Systems, controls and recordsThis Practice Note explains the Financial Conduct Authority (FCA)'s rules on systems, controls and records in...
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31st Jul
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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31st Jul
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 31st Jul
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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31st Jul
Practice notes
Investing in authorised funds through platforms, transparency and other client information disclosure issuesBREXIT: 11pm (GMT) on 31 December 2020...
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31st Jul
Practice notes
Platform services, distributing products through platforms and the interaction with the RDR and the Investment Platforms Market StudyBREXIT: 11pm...
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31st Jul

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