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Financial regulatory implications of pension transfers

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Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

The following Financial Services news provides comprehensive and up to date legal information on Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

How anti-corruption push affects US companies operating abroad

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

UK antitrust watchdog clears IHS Markit, CME joint venture

UK antitrust watchdog clears IHS Markit, CME joint venture

The following Financial Services news provides comprehensive and up to date legal information on UK antitrust watchdog clears IHS Markit, CME joint venture

The road to COP26—exploring the role of private finance

The road to COP26—exploring the role of private finance

The following Banking & Finance news provides comprehensive and up to date legal information on The road to COP26—exploring the role of private finance

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Promotion of unregulated collective investment schemes (UCIS)

Promotion of unregulated collective investment schemes (UCIS)

Promotion of unregulated collective investment schemes (UCIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)OverviewThe requirements to have robust systems and controls in a regulated firm to prevent money...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

Practice notes

Introduction to the FCA COBS 4 rules

Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

What is credit and what is a regulated consumer credit agreement?

What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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19th May
Practice notes

Consumer protection—FCA and other regulatory requirements

Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

IFPRU Remuneration Code

IFPRU Remuneration CodeBREXIT: 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

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirements

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes

FCA—training and competence

FCA—training and competenceBREXIT: 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

Financial Ombudsman Service—eligible complainants

Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

PRA-regulated activities and the scope of PRA regulation

PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes

What are regulated activities?

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 requirements

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

The Financial Services Compensation Scheme

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

SM&CR—Statements of Responsibility (SoRs)

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

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

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

COBS 4—exemptions in relation to UCIS and close substitutes

COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May
Practice notes

Conduct Rules for SM&CR Firms

Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May

Popular documents

Summary assessment—statement of costs

Summary assessment—statement of costs

Summary assessment—statement of costsSummary assessment is the procedure whereby costs are assessed by the judge who has heard the case or application (see Practice Note: Summary assessment). This Practice Note considers the use of a statement of costs in summary assessment. Form N260 is a model

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March 2018. Its findings included that:•most firms understood the distinction between

Amending the articles of association

Amending the articles of association

Amending the articles of associationThis Practice Note summarises the procedure to amend or change a company’s articles of association in accordance with the Companies Act 2006 (CA 2006).Why amend the articles?There are many different reasons why a company may want, or be required, to amend its

Guide to using the Lexis®PSL Employment Schedule of Loss application

Guide to using the Lexis®PSL Employment Schedule of Loss application

Guide to using the Lexis®PSL Employment Schedule of Loss applicationThe automated unfair dismissal schedule of loss is designed to make the preparation of a schedule more efficient, accurate and also easier to update. It:•can be used to create a schedule for a claimant or a counter-schedule for a