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Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
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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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
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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9th Nov
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...
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9th Nov
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
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 >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Q&As content

Q&As
The assignment of agreements to debt purchasersThe practice of originators assigning agreements regulated by the Consumer Credit Act 2006 to a third...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 12th Apr
Q&As
As set out in Practice Note: SM&CR—essentials for banks and PRA-designated investment firms, the Financial Conduct Authority (FCA) and Prudential...
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8th Apr
Q&As
The Financial Conduct Authority has specified nine significant-harm functions and expects firms to ensure that any staff performing one of the nine...
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8th Apr
Q&As
Presuming that the firm that the financial adviser works for is authorised by the Financial Conduct Authority (FCA) and that the adviser is also FCA...
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8th Apr
Q&As
We are constantly reviewing and adding to our content as a result of market practice and customer feedback. We do not have any content on the impact...
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8th Apr
Q&As
This Q&A looks at the impact of Brexit on cross-border transfers of personal data involving the UK and EEA, under the General Data Protection...
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8th Apr
Q&As
Under the European Union (Withdrawal) Act 2018 (EU(W)A 2018), before certain proposed statutory instruments (Brexit SIs) are formally laid in...
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8th Apr
Q&As
There are two schools of thought on how Brexit may prevent the Financial Transactions Tax (FTT) proposals from affecting the UK. The first is a policy...
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Produced in partnership with Hilary Barclay of Burges Salmon 8th Apr
Q&As
See Practice Note: Brexit—impact on financial services discusses the impact of Brexit on financial services including the loss of passporting rights...
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1st Apr
Q&As
We have addressed the relevant FCA amendments to retained EU legislation in our series of Brexit Quick Guides across a number of financial services...
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1st Apr
Q&As
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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26th Mar
Q&As
Financial promotions under section 21 of the Financial Services and Markets Act 2000Under section 21 of the Financial Services and Markets Act 2000...
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26th Mar

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