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Latest Financial Services News

Path to COP26—Net Zero Disputes—key risks

Path to COP26—Net Zero Disputes—key risks

The following Banking & Finance news provides comprehensive and up to date legal information on Path to COP26—Net Zero Disputes—key risks

FCA probes Monzo bank over potential AML breaches

FCA probes Monzo bank over potential AML breaches

The following Corporate Crime news provides comprehensive and up to date legal information on FCA probes Monzo bank over potential AML breaches

Lloyd’s Europe’s operations highlight challenges for UK insurers

Lloyd’s Europe’s operations highlight challenges for UK insurers

The following EU Law news provides comprehensive and up to date legal information on Lloyd’s Europe’s operations highlight challenges for UK insurers

Ireland—business interruption disputes focus of 17 percent of ombudsman claims

Ireland—business interruption disputes focus of 17 percent of ombudsman claims

The following EU Law news provides comprehensive and up to date legal information on Ireland—business interruption disputes focus of 17 percent of ombudsman claims

Featured Financial Services content

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...

Complaints handling by financial services firms

Complaints handling by financial services firms

CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...

Q&As

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the cardholder and others?

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the...
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19th May
Practice notes

Application of the FCA's COBS 4 rules

Application of the FCA's 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

FCA financial crime guidance: FCG, FCTR and supporting materials

FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
Practice notes

Financial Ombudsman Service—time limits

Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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 regulation of claims management companies—essentials

FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 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

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...
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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

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

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

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...
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19th May
Practice notes

Responsible lending requirements—CONC 5

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
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

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...
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19th May
tag iconIn-house
Practice notes

Public censure by the FCA

Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
tag iconIn-house
Practice notes

USA—Introduction to state securities (blue sky) laws

USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May

Most recent Key developments and horizon scanning content

Practice notes

Brexit legislation tracker

Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...
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3rd Aug
tag iconBrexit
Practice notes

Coronavirus (COVID-19)—consolidated Q&As

Coronavirus (COVID-19)—consolidated Q&AsThis Practice Note contains a consolidated list of coronavirus (COVID-19) Q&As from across a number of...
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3rd Aug
tag iconCOVID-19
Practice notes

Coronavirus (COVID-19)—key issues for Corporate lawyers

Coronavirus (COVID-19)—key issues for Corporate lawyersThis Practice Note considers the key issues that may arise for Corporate practitioners in...
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2nd Aug
tag iconCOVID-19
Practice notes

Coronavirus (COVID-19)—implications for Banking & Finance lawyers

Coronavirus (COVID-19)—implications for Banking & Finance lawyersThis Practice Note brings together key content on coronavirus (COVID-19) published...
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2nd Aug
tag iconCOVID-19
Practice notes

Key dates for Financial Services—horizon scanner

Key dates for Financial Services—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates for financial...
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1st Aug
Practice notes

Sustainable finance—horizon scanner

Sustainable finance—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to sustainable...
Read More >
1st Aug
Practice notes

Prudential requirements—horizon scanner

Prudential requirements—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to prudential...
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1st Aug
Q&As

What is retained EU law?

What is retained EU law?Retained EU law is a legal concept describing EU-derived legislation, rights and principles the UK plans to preserve in UK law...
Read More >
Produced in partnership with Mathias Cheung of Atkin Chambers 1st Aug
tag iconBrexit
Q&As

What are the key features of a Brexit SI?

What are the key features of a Brexit SI?As part of the UK’s domestic preparation for Brexit, the government is introducing a range of primary and...
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1st Aug
tag iconBrexit
Q&As

In the context of Brexit, what is meant by the ‘transition or implementation period’?

In the context of Brexit, what is meant by the ‘transition or implementation period’?The term ‘transition or implementation period’ is used in the...
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1st Aug
tag iconBrexit
Q&As

What is the sifting process for Brexit legislation?

What is the sifting process for Brexit legislation?Under the European Union (Withdrawal) Act 2018 (EU(W)A 2018), before certain proposed statutory...
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1st Aug
tag iconBrexit
Q&As

How do I sign up for Brexit alerts?

How do I sign up for Brexit alerts?Brexit news and analysis in Lexis®PSLYou can receive Brexit news updates and analysis by signing up for alerts...
Read More >
1st Aug
tag iconBrexit
Practice notes

Brexit tracker—Insurers move out of the UK

Brexit tracker—Insurers move out of the UKThis document tracks the movement of where (re)insurance companies will move in order to retain...
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1st Aug
tag iconBrexit
Q&As

Is it possible to access previous versions of legislation that have been amended or revoked statutory instruments etc?

Is it possible to access previous versions of legislation that have been amended or revoked statutory instruments etc?Online historical versions for...
Read More >
1st Aug
tag iconBrexit
Precedents

Retained EU law—training materials

Retained EU law—training materialsThese training materials consist of template PowerPoint slides that can be used as the basis of one or more training...
Read More >
1st Aug
tag iconBrexit
Practice notes

Insurance & Reinsurance—EU permissions regimes

Insurance & Reinsurance—EU permissions regimesThis Practice Note considers the permissions regimes for UK (re)insurers and (re)insurance...
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Produced in partnership with Francis Walters of HFW and HFW 1st Aug
Practice notes

Coronavirus (COVID-19)—insurance considerations

Coronavirus (COVID-19)—insurance considerationsThe coronavirus (COVID-19) pandemic has profound implications across the global economy and poses an...
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1st Aug
tag iconCOVID-19
Practice notes

Coronavirus (COVID-19)—FCA non-damage business interruption insurance test case

Coronavirus (COVID-19)—FCA non-damage business interruption insurance test caseUnlike conventional perils such as fire or flood, an outbreak of a...
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Produced in partnership with James Beeton of 12 King's Bench Walk and Cressida Mawdesley-Thomas of 12 King's Bench Walk 1st Aug
tag iconCOVID-19
Q&As

Brexit: Can UK businesses now ignore the proposed EU financial transactions tax?

Brexit: Can UK businesses now ignore the proposed EU financial transactions tax?There are two schools of thought on how Brexit may prevent the...
Read More >
Produced in partnership with Hilary Barclay of Burges Salmon 1st Aug
tag iconBrexit
Practice notes

Brexit—alternative UK trade models [Archived]

Brexit—alternative UK trade models [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.As of 31 January 2020 (exit day),...
Read More >
Produced in partnership with Adam Cygan of University of Leicester 1st Aug
tag iconBrexit

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Convention rights—structure of qualified rights

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Convention rights—structure of qualified rightsThe rights preserved under the European Convention on Human Rights (ECHR), as set out in the Human Rights Act 1998 Sch 1, can be broadly divided into three groups:•absolute rights—which cannot be interfered with by the state or derogated from even in a

Reversionary lease by reference

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