Investigations, enforcement and discipline

View Financial Services by content type:

News

Practice notes

Precedents

Q&As

Latest Financial Services News

Special Administration and Sanctions on Russian Banks (Re Sberbank)

The following Banking & Finance news provides comprehensive and up to date legal information on Special Administration and Sanctions on Russian Banks (Re Sberbank)

Too soon for banks to have dedicated green capital framework, executives say

The following Banking & Finance news provides comprehensive and up to date legal information on Too soon for banks to have dedicated green capital framework, executives say

RBS wins Quincecare dispute over legal finance fraud

The following Banking & Finance news provides comprehensive and up to date legal information on RBS wins Quincecare dispute over legal finance fraud

Allianz sets aside extra €1.9bn for US investment funds probe

The following Financial Services news provides comprehensive and up to date legal information on Allianz sets aside extra €1.9bn for US investment funds probe

Featured Financial Services content

MiFID I—Transaction reporting

MiFID I—Transaction reportingThis Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in...

Financial Conduct Authority—powers

Financial Conduct Authority—powersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...

FCA best execution rules

FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

Practice notes

Prudential Regulation Authority—Fundamental Rules

Prudential Regulation Authority—Fundamental RulesBackground to the Fundamental RulesPrior to the creation of the Financial Conduct Authority (FCA) and...

16th Nov

Practice notes

Insurance conduct of business—cancellation rights and claims handling

Insurance conduct of business—cancellation rights and claims handlingImplementation of the Insurance: Conduct of Business Sourcebook (ICOBS)On 6...

16th Nov

Practice notes

The European Social Entrepreneurship Funds (EuSEF) Regulation

The European Social Entrepreneurship Funds (EuSEF) RegulationThe EuSEF regulatory frameworkThis Practice Note provides an overview of the European...

16th Nov

Practice notes

Financial Services Act 2012

Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....

16th Nov

Practice notes

FCA inducements rules

FCA inducements rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

16th Nov

Practice notes

Tied agents

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

16th Nov

Practice notes

Consumer credit—essentials

Consumer credit—essentialsThe FCA consumer credit regimeOn 1 April 2014, the Financial Conduct Authority (FCA) assumed responsibility for consumer...

16th Nov

Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th Apr

Practice notes

Financial Services (Banking Reform) Act 2013—essentials

Financial Services (Banking Reform) Act 2013—essentialsThis Practice Note outlines the key changes to UK banking reform adopted through the Financial...

16th Nov

Practice notes

Interaction between the PRA, FCA and FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

16th Nov

Practice notes

USA—Insider trading

USA—Insider tradingThe restriction on insider tradingWhat is insider trading?Insider trading is usually associated with illegal conduct. However, the...

16th Nov

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...

Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 16th Nov

Practice notes

Impact of Brexit: Insurance distribution—quick guide

Impact of Brexit: Insurance distribution—quick guideThis insurance distribution quick guide details current UK legislation and retained EU legislation...

16th Nov

Brexit

Practice notes

Whistleblowing Directive—timeline

This Timeline outlines the key developments related to the proposed Directive on the protection of persons reporting breaches of Union law...

16th Nov

Practice notes

Payment Systems Regulator—establishment, constitution and remit

Payment Systems Regulator—establishment, constitution and remitEstablishment of the PSRThe UK government commissioned in 1998 an independent review of...

16th Nov

Practice notes

Prudential Regulation Authority—Proactive Intervention Framework

Prudential Regulation Authority—Proactive Intervention FrameworkBackgroundAs the prudential regulator for insurers, banks and also certain investment...

16th Nov