Prudential requirements for investment firms

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BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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26th Oct
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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21st Oct
Practice notes
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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19th Oct
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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5th Oct
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...
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5th Oct
Practice notes
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
1st Oct
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
26th Sep
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
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26th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...
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25th Sep
Practice notes
Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...
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25th Sep
Practice notes
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
Read More >
25th Sep
Practice notes
In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...
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25th Sep
Practice notes
Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...
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25th Sep
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
Read More >
25th Sep
Practice notes
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...
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25th Sep

Most recent Prudential requirements for investment firms content

Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
26th Sep
Q&As
The Investment Firms Regulation (EU) 2019/2033 (IFR) will not form part of UK law (and the Investment Firms Directive (EU) 2019/2034 (IFD) will not...
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28th Sep
Practice notes
This Quick Look Brexit Financial Services Legislation Status Guide provides high-level information on the status of the Investment Firms Regulation...
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2nd Oct

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