Regulated activities

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Practice notes
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 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 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)—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 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 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?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 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)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 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 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 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 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 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—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 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 content

Practice notes
Unauthorised business—legal and regulatory frameworkThere is a fundamental prohibition at the heart of the UK regulatory regime whereby a person...
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11th Aug
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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11th Aug
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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11th Aug
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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11th Aug
Practice notes
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 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
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....
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11th Aug
Practice notes
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 instructionsBackground to the regulation of sending dematerialised instructionsAccording to the...
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11th Aug
Practice notes
Territorial scope of the general prohibitionWhere and how does the general prohibition apply?There is a fundamental prohibition at the heart of the UK...
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11th Aug
Practice notes
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 investmentsThis Practice Note covers the regulated activity of managing investments.DefinitionManaging investments is a regulated activity...
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11th Aug
Practice notes
Exclusions applying to the specified activities relating to investmentsThis Practice Note sets out a number of exclusions which can apply in relation...
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11th Aug
Practice notes
Advising on basic stakeholder products, investments, pension transfers and loan-based crowdfunding agreementsThis Practice Note covers the regulated...
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11th Aug
Practice notes
Arranging deals in investments and operating multilateral and organised trading facilitiesArranging deals in investments, operating a multilateral...
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11th Aug
Practice notes
Regulated investments essentialsFSMA 2000 activities and investmentsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), no...
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11th Aug
Practice notes
Advising on mortgages and home finance transactionsRegulated activities—generalThe Financial Services and Markets Act 2000 (FSMA 2000) regulates home...
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11th Aug
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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11th Aug
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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11th Aug
Practice notes
Administering benchmarksBackground to the regulated activities relating to benchmarksBenchmarks are vital to the pricing of numerous financial...
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11th Aug

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