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
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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11th Aug
Practice notes
Carrying on unauthorised business and breaching the general prohibitionThis Practice Note outlines the relevant legislative provisions stipulating the...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 11th Aug
Practice notes
Tied agentsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into...
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11th Aug
Practice notes
Entering into and administering regulated mortgage contracts and home finance transactionsBackground to the regulation of regulated mortgage contracts...
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11th Aug
Practice notes
Regulatory regime for credit rating agenciesIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK...
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11th Aug
Practice notes
Exclusions specifically applying to accepting deposits, e-money and home finance transactionsThe general prohibitionUnder section 19 of the Financial...
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11th Aug
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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11th Aug
Practice notes
Safeguarding and administering investmentsDefinitionSafeguarding and administering investments (commonly known as 'custody') is a regulated activity...
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11th Aug
Practice notes
Entering into a consumer hire agreement as ownerBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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11th Aug
Practice notes
Designated Professional BodiesWhat is a Designated Professional Body?A Designated Professional Body (DPB), is a body that regulates and supervises...
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11th Aug
Practice notes
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
Practice notes
Financial Services and Markets Act 2000—essentialsThe principal role of the Financial Services and Markets Act 2000 (FSMA 2000) was to establish and...
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11th Aug
Q&As
Would lending to an individual where the loan is secured by a second charge be viewed as a regulated activity? Would a person carrying on this...
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11th Aug

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