Regulated activities—specified activities and investments

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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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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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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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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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9th Nov
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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9th Nov
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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9th Nov
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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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9th Nov
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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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Produced in partnership with Morrison & Foerster LLP 12th Jan
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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9th Nov
Practice notes
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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9th Nov
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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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9th Nov
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...
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Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes
Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
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Produced in partnership with DLA Piper 12th Jan
Practice notes
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
Practice notes
BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...
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9th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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9th Nov

Most recent Regulated activities—specified activities and investments content

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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15th May
Practice notes
Regulated activities relating to the provision of credit information services and credit referencesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 15th May
Practice notes
Arranging deals in home finance transactionsBackground to the regulation of home finance transactionsThe regulation of home finance transactions came...
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15th May
Practice notes
Regulated activities relating to consumer creditBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Assisting in the administration and performance of insurance contractsBackground to the regulation of assisting in the administration and performance...
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15th May
Practice notes
Regulated investments essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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15th May
Practice notes
Regulated activities—credit brokerCredit brokerage under the consumer credit regimeSince April 2014, the regulation of consumer credit in the UK has...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 15th May
Practice notes
What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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15th May
Practice notes
Effecting and carrying out contracts of insuranceBackground to the regulated activities of effecting and carrying out contracts of insuranceThe...
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15th May
Practice notes
Regulated Lloyd’s and funeral plan activitiesThis Practice Note covers regulated activities relating to the Society of Lloyd’s (commonly referred to...
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15th May
Practice notes
The regulation of sending dematerialised instructionsBackground to the regulation of sending dematerialised instructionsAccording to the...
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15th May
Practice notes
Administering benchmarksBackground to the regulated activities relating to benchmarksThe London Inter-Bank Offered Rate (LIBOR) is a global benchmark...
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15th May
Practice notes
Advising on basic stakeholder products, investments, pension transfers and loan-based crowdfunding agreementsThis Practice Note covers the regulated...
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15th May
Practice notes
Dormant accountsDormant Bank and Building Society Accounts Act 2008 The management of dormant account funds and the meeting of repayment claims by a...
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15th May
Practice notes
Entering into regulated credit agreements as lenderBREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018)....
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15th May
Practice notes
Advising on mortgages and home finance transactionsBackground to the regulation of home finance transactionsThe regulation of home finance...
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15th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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15th May
Practice notes
Managing investmentsThis Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity...
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15th May
Practice notes
Entering into and administering home finance transactionsBackground to the regulation of home finance transactionsThe regulation of home finance...
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15th May
Practice notes
Accepting depositsThis Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits...
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15th May

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