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.
The following Financial Services news provides comprehensive and up to date legal information on Lexis+ Financial Services—daily round-up (5 December 2025)
The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—4 December 2025
The following Financial Services news provides comprehensive and up to date legal information on Lexis+ Financial Services—daily round-up (4 December 2025)
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
Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid
Contributory negligence in personal injury claimsContributory negligence is a partial defence which can lead to a discount in damages.Other defences may also be relevant. See Practice Notes: Did the claimant consent to the risk of injury? and Was the claimant involved in an illegal activity?If a
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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