Product governance—derivatives

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Practice notes
CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Financial Ombudsman Service—time limitsBREXIT: 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—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
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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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
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
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
FCA best execution 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
Appointed representativesBREXIT: 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
FCA inducements 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
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Product governance—derivatives content

Practice notes
MiFID II product governance requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun

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