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Regulated activities—specified activities and investments

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US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

Top UK court to hear £118m HSBC Ponzi scheme case

Top UK court to hear £118m HSBC Ponzi scheme case

The following Financial Services news provides comprehensive and up to date legal information on Top UK court to hear £118m HSBC Ponzi scheme case

Payments watchdog warns over UK access-to-cash divide

Payments watchdog warns over UK access-to-cash divide

The following Financial Services news provides comprehensive and up to date legal information on Payments watchdog warns over UK access-to-cash divide

OFAC settlement extends sanctions reach beyond US dollar

OFAC settlement extends sanctions reach beyond US dollar

The following Corporate Crime news provides comprehensive and up to date legal information on OFAC settlement extends sanctions reach beyond US dollar

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes

Interaction between the PRA, FCA and FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes

FCA client money rules

FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes

What are regulated activities?

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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19th May
Practice notes

FCA client classification requirements

FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes

EMIR REFIT and EMIR 2.2 roadmap

EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes

The Financial Services Compensation Scheme

The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

The Single Rulebook

The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Regulated activities—specified activities and investments content

Practice notes

The regulated activity of issuing electronic money

The regulated activity of issuing electronic moneyBackground to the regulated activity of issuing electronic moneyUnder section 19 of the Financial...
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17th Sep
Practice notes

Accepting deposits

Accepting depositsBackground to the regulated activity of accepting depositsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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17th Sep
Practice notes

Dealing in investments

Dealing in investmentsDealing as principal or as agentAuthorised persons can obtain permission to deal in investments as principal, or as agent for...
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10th Sep
Practice notes

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

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 8th Sep
Practice notes

Regulated activities relating to consumer credit

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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8th Sep
tag iconIn-house
Practice notes

Operating an electronic system in relation to consumer lending

Operating an electronic system in relation to consumer lendingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 8th Sep
Practice notes

Regulated activities—credit broker

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 8th Sep
tag iconIn-house
Practice notes

FCA Regulation of bidding for emissions allowances in the UK

FCA Regulation of bidding for emissions allowances in the UKBackground to emissions trading in the EU and the UKEmissions trading is a market-based...
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8th Sep
Q&As

Where can I find information relating to FCA perimeter issues?

Where can I find information relating to FCA perimeter issues?The FCA's Perimeter Guidance manual (PERG) provides guidance about the circumstances in...
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12th Aug
Practice notes

What is credit and what is a regulated consumer credit agreement?

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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11th Aug
Practice notes

Effecting and carrying out contracts of insurance

Effecting and carrying out contracts of insuranceBackground to the regulated activities of effecting and carrying out contracts of insuranceThe...
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11th Aug
Practice notes

Dormant accounts

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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11th Aug
Practice notes

Regulated Lloyd’s and funeral plan activities

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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11th Aug
Practice notes

Regulated activities for debt management firms and not-for-profit bodies

Regulated activities for debt management firms and not-for-profit bodiesArticle 39F(1) of Financial Services and Markets Act 2000 (Regulated...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 11th Aug
Practice notes

Entering into regulated credit agreements as lender

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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11th Aug
Practice notes

Regulated activities relating to claims management services

Regulated activities relating to claims management servicesBackground to the FCA regulation of claims management activitiesThe Claims Management...
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11th Aug
Practice notes

The regulation of sending dematerialised instructions

The regulation of sending dematerialised instructionsBackground to the regulation of sending dematerialised instructionsAccording to the...
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11th Aug
Practice notes

UCITS, collective investment scheme and alternative investment fund regulated activities

UCITS, collective investment scheme and alternative investment fund regulated activitiesFSMA 2000 activities and investmentsUnder section 19 of...
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11th Aug
Practice notes

Managing investments

Managing investmentsThis Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity...
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11th Aug
Practice notes

Advising on basic stakeholder products, investments, pension transfers and loan-based crowdfunding agreements

Advising on basic stakeholder products, investments, pension transfers and loan-based crowdfunding agreementsThis Practice Note covers the regulated...
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11th Aug

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ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and duties

ECHR, art 5(4)—rights and dutiesThe scope of article 5(4) Article 5(4) of the European Convention of Human Rights (ECHR) provides that: 'Everyone who is deprived of his liberty by arrest or detention shall be entitled to take proceedings by which the lawfulness of his detention shall be decided

Indemnity costs orders—principles

Indemnity costs orders—principles

Indemnity costs orders—principlesThis Practice Note considers orders for costs determined on an indemnity basis (indemnity costs orders). A court may order that costs are assessed on an indemnity basis so that any doubt as to the costs claimed are resolved in favour of the receiving party. Compare

Highways, street works and statutory undertakers

Highways, street works and statutory undertakers

Highways, street works and statutory undertakersCoronavirus (COVID-19): This Practice Note contains guidance on matters that have temporarily been altered to assist in the management of the coronavirus (COVID-19) pandemic. For further information, see: Traffic Orders Procedure (Coronavirus)

Stay of proceedings—when can you apply to stay a claim?

Stay of proceedings—when can you apply to stay a claim?

Stay of proceedings—when can you apply to stay a claim?This Practice Note considers the question of when court proceedings can be stayed. It identifies scenarios in which a party may apply for a stay of proceedings, including to allow for: a jurisdictional challenge; arbitration; an attempt to