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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
IFPRU Remuneration CodeBREXIT: 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
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 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 European Systemic Risk BoardBREXIT: 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
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
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
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
Recognised investment exchangesBREXIT: 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
Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
FCA inducements 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
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent Q&As content

Q&As
Does the recast Payment Services Directive prevent firms from charging a fee for accepting credit card payments?The Payment Services Regulations 2017,...
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5th Jun
Q&As
What is crowdfunding?Main conceptThe basic premise of crowdfunding is that, rather than targeting a few select investors to finance a project,...
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5th Jun
Q&As
When does section 362A of FSMA 2000 apply to a company considering appointing administrators and which carried out Consumer Credit regulated...
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5th Jun
Q&As
Is a modifying or new agreement required where a lender agrees to extend the term over which a Regulated Consumer Credit Agreement is to be paid by...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 5th Jun
Q&As
Can a lender sue if it does not have the original or complete credit agreement?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...
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5th Jun
Q&As
Will section 75 of the Consumer Credit Act 1974 apply to gambling activities funded through the use of a credit card?It appears that most credit card...
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5th Jun
Q&As
Would taking second charges from client directors (as an alternative to those directors providing personal guarantees) fall within the scope of the...
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5th Jun
Q&As
What are the notification requirements for a change in control of a firm?Our Practice Notes Obligations of controllers—acquiring and increasing...
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5th Jun
Q&As
Can a borrower challenge a mortgage lender’s right to rely on a unilateral power to change the interest rate of a regulated mortgage contract?BREXIT:...
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5th Jun
Q&As
If an individual lends a sum of money (£40,000) to a friend to assist in the purchase of a property and there is no written agreement in respect of...
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Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT 5th Jun
Q&As
Could the issuance of a fuel card protection product be considered as carrying out insurance and fall within the scope of being a regulated activity...
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5th Jun

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