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 Lexis+ Financial Services—daily round-up (6 February 2026)
The following Financial Services news provides comprehensive and up to date legal information on Lexis+ Financial Services—daily round-up (5 February 2026)
The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—5 February 2026
The following Financial Services news provides comprehensive and up to date legal information on Lexis+ Financial Services—daily round-up (4 February 2026)
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)
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
If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal fees, will that count as a PET against their estate?A disclaimer is the refusal of a gift prior to acceptance. The refusal of the gift must take place before the beneficiary accepts any benefit
Glossary—Latin legal termsDespite attempts in recent years to simplify the language used in legal cases, there are still a number of Latin phrases commonly used in personal injury claims. The following Latin phrases are listed in alphabetical order:Latin
0330 161 1234