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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
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 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
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 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
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Q&As content

Q&As
When and how should a UK firm apply for authorisation or a variation of permission under MiFID II?This Q&A explains when and how a UK firm should...
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5th Jun
Q&As
Prior to the implementation of Solvency II, where could I find the PRA's credit and market risk requirements that applied to insurers?Prior to the...
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5th Jun
Q&As
Within the 'debt issues' exemption for collective investment schemes, what amounts to an 'instrument creating or acknowledging indebtedness'?A...
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5th Jun
Q&As
Company A and Company B are co-investors into ProjectCo. Is Company A required/entitled to carry out KYC checks on ProjectCo's directors nominated by...
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5th Jun
Q&As
What happens if a lender incorrectly charges interest on a credit agreement?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...
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5th Jun
Q&As
Does my firm have any redress when the FCA is in the middle of considering our authorisation application for taking too long, or in the event that the...
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5th Jun
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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5th Jun
Q&As
I need to draft a declaration satisfying article 60C(3) of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544....
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5th Jun
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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5th Jun
Q&As
Is a financial adviser required to disclose a previous conviction when providing services to a client?Presuming that the firm that the financial...
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5th Jun
Q&As
Can a debtor be forced to pay for a bill which was bought by the debt agency from a credit card company, even though on the credit agreement it states...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 5th Jun
Q&As
Are loans involving family members, friends or trusts caught by the consumer credit regime?The regulation of consumer creditUnder section 19 of the...
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5th Jun

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