FSMA regulated pensions activity

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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 FSMA regulated pensions activity content

Practice notes
FORTHCOMING DEVELOPMENT: Following the publication of a discussion paper (DP18/1)on the effectiveness of competition in non-workplace pensions...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
The introduction of personal pensions in 1987 was heralded as offering new choices for self-employed and employed individuals.However, it soon became...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
Personal pension schemes—central role in private pensions sectorPersonal pension schemes, in their various forms, play a central and important role in...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 8th Jan
Practice notes
Statutory development of personal pensionsRetirement annuity contracts were the predecessor to personal pensions. They were introduced by the Finance...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
FORTHCOMING DEVELOPMENT: Following a period of consultation, the government decided to restrict the statutory right to transfer (contained in...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
This Practice Note looks at legal and practical issues that arise on the winding up of a personal pension scheme by its provider, scheme administrator...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
ARCHIVED: This Practice Note has been archived and is not maintained.With effect from 8 October 2001, the Welfare Reform and Pensions Act 1999 (WRPA...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
Application of the RDRThe Retail Distribution Review (RDR) introduced major changes to the retail investment market and applies to regulated firms in...
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Produced in partnership with Leonardo Robinson 8th Jan
Practice notes
What is a section 32 buy-out policy?A term which may be often heard within the pensions arena is that of the ‘section 32 buy-out policy’—also...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 8th Jan
Practice notes
The obligation on employers to designate and facilitate access to a stakeholder pension scheme (as set out in section 3 of the Welfare Reform and...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 8th Jan
Practice notes
FORTHCOMING DEVELOPMENT: Following the publication of a discussion paper (DP18/1)on the effectiveness of competition in non-workplace pensions...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
Before 6 April 2006, personal pension schemes were specifically required to provide retirement benefits on a money purchase basis in order to be HMRC...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
Investment-regulated pension schemes (IRPSs) are a particular category of registered pension schemes that are subject to additional controls on the...
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Produced in partnership with Alistair Hill of CMS 8th Jan
Practice notes
This Practice Note looks at the Financial Services Compensation Scheme (FSCS) in the context of pensions. For further information and detail on the...
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Produced in partnership with Dentons 8th Jan
Practice notes
FORTHCOMING DEVELOPMENT: On 24 June 2020 the Financial Conduct Authority (FCA) published consultation paper CP20/9, which contains proposals that aim...
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27th Sep
Practice notes
This Practice Note set out some of the key issues to be considered when acting on the purchase of a property from a Self-Invested Personal Pension...
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26th Sep
Practice notes
CORONAVIRUS (COVID-19) UPDATE: To enable providers to give effective retirement risk warnings, the FCA has produced a table suggesting questions...
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26th Sep
Practice notes
CORONAVIRUS (COVID-19) UPDATE: Until 30 June 2020, the Pensions Regulator (TPR) allowed trustees of DB schemes to suspend cash equivalent transfer...
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26th Sep
Practice notes
FORTHCOMING DEVELOPMENT: In July 2019 the Pensions Administration Standards Association (PASA) DB Transfers Working Group released ‘Defined Benefit...
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26th Sep
Practice notes
THIS PRACTICE NOTE APPLIES TO PERSONAL PENSION SCHEMES This Practice Note looks at the disclosure requirements that were applicable to trustees (or...
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26th Sep

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