Regulated activities

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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

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

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

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)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 ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

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)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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Regulated activities content

Practice notes

Unauthorised business—legal and regulatory framework

Unauthorised business—legal and regulatory frameworkThere is a fundamental prohibition at the heart of the UK regulatory regime whereby a person...

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...

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...

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...

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...

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)....

11th Aug

Practice notes

What does 'by way of business' mean?

What does 'by way of business' mean?An activity is only a regulated activity if it is an activity which is carried out by way of business in the UK....

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...

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...

11th Aug

Practice notes

Territorial scope of the general prohibition

Territorial scope of the general prohibitionWhere and how does the general prohibition apply?There is a fundamental prohibition at the heart of the UK...

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...

11th Aug

Practice notes

Managing investments

Managing investmentsThis Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity...

11th Aug

Practice notes

Exclusions applying to the specified activities relating to investments

Exclusions applying to the specified activities relating to investmentsThis Practice Note sets out a number of exclusions which can apply in relation...

11th Aug

In-house

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...

11th Aug

Practice notes

Arranging deals in investments and operating multilateral and organised trading facilities

Arranging deals in investments and operating multilateral and organised trading facilitiesArranging deals in investments, operating a multilateral...

11th Aug

Practice notes

Regulated investments essentials

Regulated investments essentialsFSMA 2000 activities and investmentsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), no...

11th Aug

Practice notes

Advising on mortgages and home finance transactions

Advising on mortgages and home finance transactionsRegulated activities—generalThe Financial Services and Markets Act 2000 (FSMA 2000) regulates home...

11th Aug

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...

11th Aug

Practice notes

Arranging deals in home finance transactions

Arranging deals in home finance transactionsBackground to the regulation of home finance transactionsThe regulation of home finance transactions came...

11th Aug

Practice notes

Administering benchmarks

Administering benchmarksBackground to the regulated activities relating to benchmarksBenchmarks are vital to the pricing of numerous financial...

11th Aug

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Regulated activities

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Latest Financial Services News

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

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

Payments watchdog warns over UK access-to-cash divide

OFAC settlement extends sanctions reach beyond US dollar

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Insurance conduct regulation—COBS and ICOBS

What is electronic money?

European Insurance and Occupational Pensions Authority (EIOPA)

Most recent Regulated activities content

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European Insurance and Occupational Pensions Authority (EIOPA)

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