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The EAW is dead—long live the UK-EU Surrender Agreement

The following Corporate Crime news provides comprehensive and up to date legal information on The EAW is dead—long live the UK-EU Surrender Agreement

FCA test case—documentation for policyholders

The following Commercial news provides comprehensive and up to date legal information on FCA test case—documentation for policyholders

Comment—financial regulation inevitable for sour loan-laden UK lenders

The following Banking & Finance news provides comprehensive and up to date legal information on Comment—financial regulation inevitable for sour loan-laden UK lenders

Scope of lending bank’s duty to commercial borrower to treat the customer fairly (Morley v RBS)

The following Banking & Finance news provides comprehensive and up to date legal information on Scope of lending bank’s duty to commercial borrower to treat the customer fairly (Morley v RBS)

Featured Financial Services content

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?

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

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

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Practice notes

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...

Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan

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...

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...

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...

9th Nov

Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...

9th Nov

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,...

9th Nov

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...

9th Nov

Practice notes

Recognised investment exchanges

Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...

9th Nov

In-house

Practice notes

MLD4—key provisions for financial services firms—one minute guide

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...

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...

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...

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...

9th Nov

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...

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...

9th Nov

Brexit

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...

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...

9th Nov

Brexit

Most recent Investigations, enforcement and discipline content

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...

22nd Jan

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,...

20th Jan

Practice notes

FCA enforcement essentials—preventing a referral to FCA enforcement

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

20th Jan

Practice notes

Unauthorised business and enforcement powers of the FCA

Restrictions on unauthorised businessThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from carrying on a regulated...

Produced in partnership with BROWNRUDNICK 19th Jan

Practice notes

Use of attestations by the FCA and the PRA

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

Produced in partnership with Pan Papakyprianou, Associate of Linklaters LLP 19th Jan

Practice notes

Policing and enforcement of the UK Listing Regime

This Practice Note focuses on the policing and enforcement of the UK Listing Regime by the FCA. It covers the FCA’s powers against an issuer in...

18th Jan

Practice notes

FCA document and information requirements: protected items (privilege) and banking confidentiality

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

Produced in partnership with Brown Rudnick LLP 18th Jan

Practice notes

FCA and PRA disclosure issues—one minute guide

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

Produced in partnership with Brown Rudnick LLP 18th Jan

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...

Produced in partnership with Sarah Clarke of Hardwicke Chambers 18th Jan

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...

Produced in partnership with Sarah Clarke of Hardwicke Chambers 18th Jan

Practice notes

Joint investigations by the FCA and the PRA

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

Produced in partnership with Jamie Symington and Lucy Hartland of Brown Rudnick LLP 18th Jan

Practice notes

The general prohibition and implications of its breach

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

18th Jan

Practice notes

Reports by skilled persons

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

Produced in partnership with Sophie Walden of Linklaters 18th Jan

Practice notes

PRA enforcement powers and approach to penalties

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

Produced in partnership with Sarah Clarke of Hardwicke Chambers 17th Jan

Practice notes

Public censure by the FCA

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

17th Jan

Practice notes

Making a reference to the Upper Tribunal following an FCA decision

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

17th Jan

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...

17th Jan

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...

Produced in partnership with Brown Rudnick LLP 17th Jan

Practice notes

FCA enforcement essentials—settlement

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

17th Jan

Practice notes

Injunctions and restitution under FSMA 2000

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

17th Jan

Investigations, enforcement and discipline

View Financial Services by content type:

Latest Financial Services News

The EAW is dead—long live the UK-EU Surrender Agreement

FCA test case—documentation for policyholders

Comment—financial regulation inevitable for sour loan-laden UK lenders

Scope of lending bank’s duty to commercial borrower to treat the customer fairly (Morley v RBS)

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)—duties

What is electronic money?

Insurance conduct regulation—COBS and ICOBS

The Single Rulebook

Most recent Investigations, enforcement and discipline content

Popular documents

Escrow accounts and escrow agreements

Arbitration agreements—definition, purpose and interpretation

Fraud by false representation

Wounding or causing grievous bodily harm with intent

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