Regulated activities

Featured guidance
Regulated activities guidance:

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark of banks, credit...

Practice Note

Background to the regulated activities relating to benchmarks The London Inter-Bank Offered Rate (LIBOR) is a global benchmark for short term interest...

Practice Note

Background to the regulated activities relating to benchmarks The London Inter-Bank Offered Rate (LIBOR) is a global benchmark for short term interest rates. The...

Practice Note

This Practice Note covers the regulated activities of providing basic advice to retail consumers on stakeholder products and of advising on: • securities and relevant...

Practice Note

Background to the regulation of home finance transactions The regulation of home finance transactions came about at different points in time. HM Treasury...

Practice Note

This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out regulated activities on...

Practice Note

Background to the regulation of home finance transactions The regulation of home finance transactions came about at different points in time. On 31 October 2004 (a date...

Practice Note

Arranging deals in investments, operating a multilateral trading facility (MTF) and operating an organised trading facility (OTF) are regulated activities under articles...

Practice Note

Background to the regulation of assisting in the administration and performance of insurance contracts Under section 19 of the Financial Services and Markets Act 2000...

Practice Note

This Practice Note outlines the relevant legislative provisions stipulating the requirement to be authorised to provide financial services in the UK. The regulators may...

Practice Note

Core elements of credit unions Credit unions are a type of financial services firm that provide savings, insurance and credit opportunities. Credit unions are a type of...

Practice Note

Dealing as principal or as agent Authorised persons can obtain permission to deal in investments as principal, or as agent for another. Dealing in investments as...

Practice Note

What is a Designated Professional Body? A Designated Professional Body (DPB), is a body that regulates and supervises members of the professions (ie...

Practice Note

Dormant Bank and Building Society Accounts Act 2008 The management of dormant account funds and the meeting of repayment claims by a reclaim fund are regulated activities...

Practice Note

Background to the regulated activities of effecting and carrying out contracts of insurance The regulation of carrying on insurance business in the UK dates back to 1870...

Practice Note

Background Emissions trading is a market-based approach to controlling pollution. It aims to reduce emissions of carbon dioxide and other harmful greenhouse gases (GHGs)...

Practice Note