Regulated activities—specified activities and investments

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Authorised unit trust authorisation and winding-up

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Consumer protection—FCA and other regulatory requirements

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Application of the FCA's COBS 4 rules

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Money Laundering Directive 4 (MLD4)—essentials

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Fair and Effective Markets Review (FEMR)—one minute guide

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Entering into a consumer hire agreement as owner

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Recognised investment exchanges

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Practice notes

Basel Accord

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Practice notes

Accepting deposits

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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UCITS VI

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Practice notes

Financial Conduct Authority—objectives and principles

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Most recent Regulated activities—specified activities and investments content

Practice notes

Emissions trading—essentials

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Practice notes

Establishing etc stakeholder or personal pension schemes

Establishing, operating or winding up:•a stakeholder pension scheme, or•a personal pension schemeare regulated activities under the Financial Services...

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Practice notes

Regulated activities relating to the provision of credit information services and credit references

Since 1 April 2014, the regulation of consumer credit in the UK has been the responsibility of the Financial Conduct Authority (FCA).Regulation of...

25th Sep

Practice notes

Dormant accounts

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Practice notes

PRA-regulated activities and the scope of PRA regulation

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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Practice notes

Managing investments

This Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity under article 37 of...

25th Sep

Practice notes

Regulated Lloyd’s and funeral plan activities

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...

25th Sep

Practice notes

Accepting deposits

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

25th Sep

Practice notes

Arranging deals in home finance transactions

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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Practice notes

Assisting in the administration and performance of insurance contracts

Background to the regulation of assisting in the administration and performance of insurance contractsUnder section 19 of the Financial Services and...

25th Sep

Practice notes

The regulation of sending dematerialised instructions

Background to the regulation of sending dematerialised instructionsAccording to the Uncertificated Securities Regulations 2001, SI 2001/3755 (the 2001...

25th Sep

Practice notes

UCITS, collective investment scheme and alternative investment fund regulated activities

FSMA 2000 activities and investmentsUnder the Financial Services and Markets Act 2000 (FSMA 2000, s 19), no person may carry on a regulated activity...

25th Sep

Practice notes

Entering into and administering home finance transactions

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

25th Sep

Practice notes

Advising on mortgages and home finance transactions

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

25th Sep

Practice notes

Regulated activities relating to claims management services

Background to the FCA regulation of claims management activitiesThe Claims Management Regulation Unit (CMRU) was established within the Ministry of...

25th Sep

Practice notes

Regulated investments essentials

FSMA 2000 activities and investmentsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), no person may carry on a regulated...

25th Sep

Practice notes

Regulated mortgage contracts and home finance transactions defined

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

25th Sep

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 activity, in the UK unless they are...

26th Sep

Practice notes

Safeguarding and administering investments

DefinitionSafeguarding and administering investments (commonly known as 'custody') is a regulated activity under article 40 of the Financial Services...

26th Sep

Practice notes

Effecting and carrying out contracts of insurance

Background to the regulated activities of effecting and carrying out contracts of insuranceThe regulation of carrying on insurance business in the UK...

26th Sep