Prudential requirements

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What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
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 materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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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
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 requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 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
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
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
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
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
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 Prudential requirements content

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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1st Aug
Q&As
Regarding the Capital Requirements Regulation (CRR) (EU Regulation 575/2013) is there a transition period for banks to comply in relation to...
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31st Jul
Q&As
Will the Investments Firms Regulation and Directive form part of UK law after Brexit?The Investment Firms Regulation (EU) 2019/2033 (IFR) will not...
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31st Jul
Practice notes
Coronavirus (COVID-19)—EU capital markets recovery packageThis Practice Note summarises the new capital markets recovery package of measures proposed...
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31st Jul
Practice notes
UK structural banking reform—ring-fencingThis Practice Note outlines the key changes to the UK banking regime introduced by the Financial Services...
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31st Jul
Practice notes
CRD IV—essentialsThis Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV...
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31st Jul
Practice notes
Bank Recovery and Resolution Directive (BRRD)—technical standards and guidelinesThe Bank Recovery and Resolution Directive 2014/59/EU (BRRD)...
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Produced in partnership with DLA Piper 31st Jul
Q&As
Will the UK remain a signatory to the Basle Capital Convergence Agreement of July 1988 post Brexit?The Basel Accords—Basel I, II and IIIThe Basle (or...
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31st Jul
Practice notes
The UK investment firms prudential regime (IFPR)This Practice Note considers the new UK prudential framework for investment firms, known as the...
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31st Jul
Practice notes
Administration procedures for UK banks, building societies and investment banksThis Practice Note provides high-level guidance on the administration...
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31st Jul
Practice notes
Financial Services (Banking Reform) Act 2013—essentialsThis Practice Note outlines the key changes to UK banking reform adopted through the Financial...
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31st Jul
Practice notes
Coronavirus (COVID-19)—targeted EU banking packageThis Practice Note summarises the new targeted banking package of measures proposed by the European...
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31st Jul
Practice notes
Basel II—essentials [Archived]BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Morrison & Foerster 31st Jul
Practice notes
Bank Recovery and Resolution Directive (BRRD)—essentialsThis Practice Note gives a general overview of the Bank Recovery and Resolution Directive...
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31st Jul
Practice notes
Quick Look Brexit Financial Services Legislation Status Guide—CRD IV and CRD VThis Quick Look Brexit Financial Services Legislation Status Guide...
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31st Jul
Practice notes
Impact of Brexit: CRR and prudential regulation—quick guideThis Brexit Capital Requirements Regulation (EU) 575/2013 (EU CRR) quick guide details UK...
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31st Jul
Practice notes
Financial Stability BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul
Practice notes
Review of the EU prudential framework for investment firmsOn 20 December 2017, the European Commission proposed an overhaul of the prudential regime...
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31st Jul
Practice notes
Financial Services (Banking Reform) Act 2013—background and contextBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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31st Jul
Practice notes
The Single Resolution MechanismBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with DLA Piper 31st Jul

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