Regulated activities—exclusions and exemptions

Regulated activities—exclusions and exemptions guidance:

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

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 solicitors,...

Practice Note

This Practice Note provides an introduction to the exemptions and exclusions that apply in relation to the general prohibition contained in section 19 of the Financial...

Practice Note

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 the effective...

Practice Note

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 the effective...

Practice Note

This Practice Note sets out a number of exclusions which can apply in relation to specific regulated activities that relate to investments. It briefly explains the...

Practice Note

The general prohibition Under section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), a person cannot carry out regulated activities in the UK unless that...

Practice Note

In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential Regulation Authority (PRA)...

Practice Note

This Practice Note seeks to explain the key exemptions that apply in relation to the FCA consumer credit regime. It does not deal with green deal plans or regulated...

Practice Note

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 entered an...

Practice Note