Enforcement and redress

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Enforcement and redress guidance:

What is privilege? The core aim of privilege is to protect the confidentiality of communications between clients and their lawyers. Note that the right belongs to the...

Practice Note

Note: This Practice Note is of largely historical interest. In January 2010 Lord Justice Jackson published his Review of Civil litigation Costs: Final Report, see...

Practice Note

The UK has voted to leave the EU and this will take place on exit day as defined in section 20 of the European Union (Withdrawal) Act 2018. This has implications for...

Practice Note

Background to the Joint Board of Appeal of the European Supervisory Authorities The Joint Board of Appeal of the European Supervisory Authorities (Board of...

Practice Note

The UK has voted to leave the EU and this will take place on exit day as defined in section 20 of the European Union (Withdrawal) Act 2018. This has implications for...

Practice Note

What is the financial promotion restriction? Under section 21 of the Financial Services and Markets Act 2000 (FSMA 2000), a person (A) must not, in the course of...

Practice Note

Fraud—what is it? Fraud can best be described as the deliberate or intentional use of misrepresentation, deception or dishonesty to deprive, in order to make a gain or...

Practice Note

Background to the complaints scheme Part 6 of the Financial Services Act 2012 (FSA 2012) requires the Bank of England, the Financial Conduct Authority...

Practice Note

What is a consumer redress scheme? Rule making powers came into force in 2010 which afforded the predecessor to the Financial Conduct Authority (FCA), the Financial...

Practice Note

Authority to conduct a dawn raid The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) can carry out dawn raids on the premises of firms...

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 further guidance on...

Practice Note

FCA approach on the supervision of financial promotion This Practice Note provides information on how the Financial Conduct Authority (FCA) ensures that financial...

Practice Note

ARCHIVED: Note: • this Practice Note provides guidance on provisions which came into force on 1 April 2013 • this Practice Note only addresses the amendments to CPR 35.4....

Practice Note

There are a number of disclosure issues that can arise when dealing with the financial services regulators. The points set out below apply equally to...

Practice Note

The Financial Conduct Authority (FCA) has a variety of powers under the Financial Services and Markets Act 2000 (FSMA 2000). This Practice Note will discuss the FCA’s...

Practice Note

FCA and PRA rules on whistleblowing On 6 October 2015, the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA) published policy...

Practice Note