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Latest Financial Services News

UK banks shift method for reimbursing scam victims

UK banks shift method for reimbursing scam victims

The following Corporate Crime news provides comprehensive and up to date legal information on UK banks shift method for reimbursing scam victims

Analysing the FCA’s proposed changes to the Listing Rules for special purpose acquisition companies (SPACs)

Analysing the FCA’s proposed changes to the Listing Rules for special purpose acquisition companies (SPACs)

The following Corporate news provides comprehensive and up to date legal information on Analysing the FCA’s proposed changes to the Listing Rules for special purpose acquisition companies (SPACs)

Court of Appeal dismisses remaining objections to jurisdiction in fraud claim over Wirecard transaction (Manek v IIFL Wealth (UK))

Court of Appeal dismisses remaining objections to jurisdiction in fraud claim over Wirecard transaction (Manek v IIFL Wealth (UK))

The following Arbitration news provides comprehensive and up to date legal information on Court of Appeal dismisses remaining objections to jurisdiction in fraud claim over Wirecard transaction (Manek v IIFL Wealth (UK))

Lifting US sanctions on Iran would increase financial activity

Lifting US sanctions on Iran would increase financial activity

The following Corporate Crime news provides comprehensive and up to date legal information on Lifting US sanctions on Iran would increase financial activity

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)—duties

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

What is electronic money?

What is electronic money?

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Practice notes

Regulatory capital—purpose, quantity and quality

Brexit; As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Public censure by the FCA

Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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9th Nov
Practice notes

Application of the FCA's COBS 4 rules

Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes

Basel Accord

The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes

UCITS VI

UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
Practice notes

European Venture Capital Funds (EuVECA) Regulation

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes

Entering into a consumer hire agreement as owner

BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes

Debt sale and purchase agreements

The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
tag iconIn-house
Practice notes

Second Wire Transfer Regulation (WTR2)—essentials

Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
tag iconBrexit
Practice notes

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes

Impact of Brexit: Solvency II—quick guide

This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
tag iconBrexit
Practice notes

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

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Investigations, enforcement and discipline content

Practice notes

Surveillance and intelligence gathering powers of the FCA

The Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and overhauled the legal framework governing the use of covert...
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Produced in partnership with Carolina Bracken of 5 Paper Buildings 5th May
Practice notes

Unauthorised business and the approach to enforcement—civil proceedings

The Financial Conduct Authority (FCA), the Bank of England (BoE) (including the Prudential Regulation Authority (PRA)) (the regulators) may take...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 5th May
Practice notes

Injunctions and restitution under FSMA 2000

In addition to their formal investigatory and enforcement powers, the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA)...
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4th May
Practice notes

FCA enforcement essentials—publicity

This Practice Note considers the FCA’s approach to publicising investigations and statutory notices (eg Supervisory Notices relating to the imposition...
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4th May
Practice notes

FCA and PRA disclosure issues—essentials

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Brown Rudnick 30th Apr
Practice notes

FCA—Regulatory Decisions Committee

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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30th Apr
Practice notes

FCA enforcement essentials—enforcement process

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Alix Prentice & Wilson Antoon of King & Wood Mallesons 30th Apr
Practice notes

FCA enforcement essentials—investigations

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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30th Apr
Practice notes

PRA enforcement essentials—decision making, statutory notices and publicity

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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30th Apr
Practice notes

Dealing with the FCA—informal requests for information

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 30th Apr
Practice notes

FCA enforcement essentials—preventing a referral to FCA enforcement

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Vaibhav Adlakha of Reed Smith and Tim Dolan of Reed Smith 30th Apr
Practice notes

Public censure by the FCA

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
Read More >
30th Apr
Practice notes

FCA disciplinary and other enforcement action against firms—one minute guide

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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30th Apr
Practice notes

Benchmark enforcement action—essentials

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Brown Rudnick 28th Apr
Practice notes

PRA enforcement essentials—suspensions, restrictions and financial penalties

Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
Read More >
26th Apr
Practice notes

FCA prohibition orders

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Apr
Practice notes

Lexis®PSL Financial Services FCA/PRA Enforcement Database

The Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed information on, all substantive Financial Conduct Authority...
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21st Apr
Practice notes

Getting the Deal Through: Government Investigations 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Greece; Hong Kong; India; Italy; Japan; Turkey; Ukraine; United...
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9th Apr
Practice notes

Breach of the financial promotion restriction and enforceability

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
26th Mar
Practice notes

Unauthorised business and the approach to enforcement—criminal proceedings

The general prohibition under FSMA 2000The general prohibition is a concept at the heart of the UK regulatory system. This means that persons...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 23rd Mar

Popular documents

LEXISNEXIS

Drafting the particulars of claim and reply

This Practice Note provides guidance on the interpretation and application of the relevant provisions of the CPR. Depending on the court in which your matter is proceeding, you may also need to be mindful of additional provisions—see further below.You should also consider if the proceedings will be

LEXISNEXIS

Constructive trusts

Millett LJ subdivided types of constructive trust into two categories, distinguishing between:•the constructive trust proper, where equity intervenes to prevent the legal owner from unconscionably denying the beneficial interest of another (known as the institutional constructive trust)•the

LEXISNEXIS

Double insurance and contribution

Overlapping insurance policesThere are various reasons why an insured may end up with overlapping insurance cover, whether deliberately or otherwise.Examples include the situation where the insured takes the benefit of other insurance arranged by another party or where, in the commercial world, risk

LEXISNEXIS

The Standard Conditions of Sale (5th edition: 2018 revision)—a guide to the main provisions

The Standard Conditions of Sale (SCS), currently in their 5th edition (2018 revision), are a set of standard conditions which are commonly incorporated into contracts for the sale of residential property. The Standard Commercial Property Conditions (Third Edition—2018 Revision) (SCPC) are used for