Understanding regulatory expectations can be challenging, but practical insights tailored for financial services professionals can help. By addressing issues like compliance, reporting obligations, and ethical conduct, this resource empowers legal teams to stay ahead of evolving standards and uphold best practices within the sector. Whether dealing with customer interactions or internal governance, this guidance provides streamlined, actionable strategies to meet conduct requirements effectively.
The following Financial Services news provides comprehensive and up to date legal information on Barclays car finance appeal must wait for top court ruling
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...
Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
FCA client money rulesBackground to the client money rulesThe rules governing how a firm must safeguard and handle client money held in relation to its investment business are found in chapter 7 of the Clients Assets sourcebook (CASS 7), which forms part of the Financial Conduct Authority’s (FCA)
What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a
If a rentcharge is shown as being informally exonerated on title information, does this apply to the current registered owner? Or does the informal exoneration only apply to the parties to the document which informally exonerated the rentcharge?This Q&A considers the situation where, at some
Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid
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