Regulated activities—specified activities and investments

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Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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16th Oct
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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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15th Oct
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This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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5th Oct
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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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Produced in partnership with Morrison & Foerster LLP 5th Oct
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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5th Oct
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This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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5th Oct
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Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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27th Sep
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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
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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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. To ensure...
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26th Sep
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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26th Sep
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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26th Sep
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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25th Sep
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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25th Sep
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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25th Sep

Most recent Regulated activities—specified activities and investments content

Practice notes
BackgroundEmissions trading is a market-based approach to controlling pollution. It aims to reduce emissions of carbon dioxide and other harmful...
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25th Sep
Practice notes
Establishing, operating or winding up:•a stakeholder pension scheme, or•a personal pension schemeare regulated activities under the Financial Services...
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25th Sep
Practice notes
Since 1 April 2014, the regulation of consumer credit in the UK has been the responsibility of the Financial Conduct Authority (FCA).Regulation of...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
As a result of the 2008 banking crisis, the government made a number of changes to the UK financial services regulatory structure. As part of the...
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25th Sep
Practice notes
This Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity under article 37 of...
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25th Sep
Practice notes
This Practice Note covers regulated activities relating to the Society of Lloyd’s (commonly referred to as Lloyd’s of London, ‘the Society’ or ‘the...
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25th Sep
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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25th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. On 31...
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25th Sep
Practice notes
Background to the regulation of assisting in the administration and performance of insurance contractsUnder section 19 of the Financial Services and...
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25th Sep
Practice notes
Background to the regulation of sending dematerialised instructionsAccording to the Uncertificated Securities Regulations 2001, SI 2001/3755 (the 2001...
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25th Sep
Practice notes
FSMA 2000 activities and investmentsUnder the Financial Services and Markets Act 2000 (FSMA 2000, s 19), no person may carry on a regulated activity...
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25th 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
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
Background to the FCA regulation of claims management activitiesThe Claims Management Regulation Unit (CMRU) was established within the Ministry of...
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25th Sep
Practice notes
FSMA 2000 activities and investmentsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), no person may carry on a regulated...
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25th 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
Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated activity, in the UK unless they are...
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26th Sep
Practice notes
DefinitionSafeguarding and administering investments (commonly known as 'custody') is a regulated activity under article 40 of the Financial Services...
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26th Sep
Practice notes
Background to the regulated activities of effecting and carrying out contracts of insuranceThe regulation of carrying on insurance business in the UK...
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26th Sep

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