Prudential requirements—non-systemically important investment firms

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This Overview provides a guide to the Lexis+® UK Financial Services content within the prudential requirements—non-systemically important investment firms subtopic with links to the appropriate materials.

The UK investment firms prudential regime (IFPR)

Non-systemically important investment firms are prudentially regulated by the Financial Conduct Authority

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Latest Financial Services News

Government departments update ECCTA guidance on AML information sharing measures

The Home Office, HM Treasury, Ministry of Justice, Companies House, Serious Fraud Office and Department for Business and Trade have updated guidance on information sharing measures under the Economic Crime and Corporate Transparency Act (ECCTA) 2023. The updated guidance, published on 3 October 2025, sets out provisions for anti-money laundering (AML) regulated firms to share customer information directly or indirectly through third-party intermediaries to prevent, detect and investigate economic crime. The guidance covers warning and request conditions for direct sharing, practical considerations including cross-sector sharing mechanisms, and requirements for law enforcement reporting, UK General Data Protection Regulation compliance and customer redress. The measures, which came into force on 15 January 2024, disapply confidentiality obligations and civil liability for AML regulated firms when sharing information for specified economic crime prevention purposes.

Sustainable finance and ESG monthly round–up—6 October 2025

This edition of the Sustainable finance and ESG monthly round-up from the Finance Group includes: (1) ISDA, EFAMA and AFME submit joint response on EC environmental legislation burden, (2) TNFD and UN SSE publish model guidance for stock exchanges on nature-related financial disclosures and (3) GFI and Climate Bonds launch Global Property Linked Finance Initiative.

FCA joins regulators in coordinated action against motor finance claims management practices

The Financial Conduct Authority (FCA), in collaboration with the Solicitors Regulation Authority (SRA), Information Commissioner's Office (ICO), and Advertising Standards Authority (ASA), has announced coordinated actions to address misleading advertising and excessive fees by claims management companies (CMCs) and law firms handling motor finance claims. Utilising powers under the Consumer Rights Act 2015 and, for the first time, the Digital Markets, Competition and Consumers Act 2024, the FCA has required nine law firms to disclose information about exit fees. Additionally, two FCA-regulated CMCs have agreed to revise their exit fee policies, while two others have committed to ceasing client acquisition and advertising until they demonstrate compliance with FCA rules.

Financial Services—other developments (6/10/2025)

A round-up of other developments, which have not been covered in full by the LexisNexis Financial Services practical guidance team but may nevertheless be of interest.

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