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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...
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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...
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26th Sep
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...
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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...
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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 Q&As content

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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28th Sep
Q&As
The Consumer Rights Act 2015 (CRA 2015) applies to contracts for the supply of goods to consumers, including hire-purchase agreements. CRA 2015 sets...
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28th Sep
Q&As
A co-operative society or community benefit society (registered society) may, by special resolution, convert into a company limited by shares or by...
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28th Sep
Q&As
We refer you to the template letters set out in Chapter 7, Annex 2, Annex 3 and Annex 4 of the Client Assets Sourcebook (CASS) which forms part of the...
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28th Sep
Q&As
We refer you to Practice Note: What is credit and what is a regulated consumer credit agreement? You will see from that note that:‘The Consumer Credit...
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28th Sep
Q&As
The main focus of gender in financial services appears to be on gender diversity on boards and creating more senior female positions in financial...
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28th Sep
Q&As
If the individual wishing to delegate authority is mentally capable then they could delegate authority to sign an agreement using a general power of...
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28th Sep
Q&As
The changes to the consumer credit frameworkThe position with secured lending has been significantly complicated by the UK’s implementation of...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 28th Sep
Q&As
‘Relevant persons’ for the purpose of the Money Laundering Regulations 2007 (MLRs)The Money Laundering Regulations 2007, SI 2007/2157 (MLRs 2007)...
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28th 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

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