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Practice notes
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
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
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
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
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
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
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes
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)—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 FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
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
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes
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
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
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
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May

Most recent Key dates for Financial Services content

Practice notes
Timelines—financial servicesThis document contains a list of timelines covering the most significant developments and regulatory regimes which impact...
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31st Jul
Practice notes
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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31st Jul
Practice notes
Prudential requirements—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to prudential...
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31st Jul
Practice notes
Sustainable finance—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to sustainable...
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30th Jul
Practice notes
FCA consultation paper tracker—2015This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2015, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2020This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2020, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2016This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2016, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2018This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2018, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2017This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2017, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2019This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2019, along with...
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5th Jul
Practice notes
FCA consultation paper tracker—2014This tracker sets out the consultation papers published by Financial Conduct Authority (FCA) in 2014, along with...
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5th Jul
Practice notes
This Practice Note sets out the consultation papers (CP) published by the Prudential Regulation Authority (PRA) in 2020, along with the...
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26th Sep
Practice notes
This Practice Note sets out the consultation papers (CP) published by the Prudential Regulation Authority (PRA) in 2019, along with the...
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26th Sep

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