Navigate the complexities of this pivotal regulation affecting investment firms and financial markets. Gain insights into compliance, client asset protection, and transaction reporting to ensure your practice aligns with the latest standards and mitigates risk effectively.
A round-up of financial services developments, including (among other things) Treasury Committee raises potential Budget leak concerns with HMT and...
This week's edition of Financial Services weekly highlights includes: Budget 2026—key Financial Services announcements and developments; FCA and PRA...
A round-up of financial services developments....
The Office of Trade Sanctions Implementation (OTSI) has published guidance on construction services prohibitions related to Russia and trade sanctions...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...
Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
MiFID and non-MiFID businessThis Practice Note summarises what MiFID business is as the term is defined in the Financial Conduct Authority (FCA) Glossary and provides a flowchart to work through the specific elements involved in determining whether the UK provisions of the Markets in Financial
Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a
If a beneficiary signs a deed of disclaimer of their share of an estate and the estate pays their legal fees, will that count as a PET against their estate?A disclaimer is the refusal of a gift prior to acceptance. The refusal of the gift must take place before the beneficiary accepts any benefit
Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an
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