Prudential requirements for insurers and intermediaries

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Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
Practice notes
Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 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
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
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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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
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
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
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
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
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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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

Most recent Prudential requirements for insurers and intermediaries content

Practice notes
PRA Rulebook—introduction for the insurance and reinsurance sectorOn 29 August 2015, the Prudential Regulation Authority (PRA) published the PRA...
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1st Aug
Practice notes
Prudential requirements for UK insurers—Pillar 2 and Pillar 3 requirementsIntroduction to the prudential regulatory frameworkThis Practice Note is one...
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Produced in partnership with Clyde & Co 1st Aug
Practice notes
Prudential requirements for UK insurers—Pillar 1 requirementsIntroduction to the prudential regulatory framework for UK insurers within the scope of...
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Produced in partnership with Clyde & Co 1st Aug
Practice notes
Prudential requirements for UK insurers—introductionIntroduction to the prudential regulatory framework for UK insurers within the scope of Solvency...
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Produced in partnership with Clyde & Co 1st Aug
Q&As
Prior to the implementation of Solvency II, where could I find the PRA's credit and market risk requirements that applied to insurers?Prior to the...
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31st Jul
Q&As
The PRA Rulebook used to have rules on prudential risk management and associated systems and controls for insurers in SYSC 14. What is prudential risk...
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31st Jul
Practice notes
Solvency II—legislative framework and structureBREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance...
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31st Jul
Practice notes
Impact of Brexit: Solvency II—quick guideThis Solvency II quick guide details current UK legislation and retained EU legislation in relation to...
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31st Jul
Practice notes
Operational risk requirements for insurersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
The Financial Conglomerate Directive (FICOD)—essentialsBackgroundFinancial conglomerates are large groups with significant activities in more than one...
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31st Jul
Practice notes
Prudential Regulation Authority—supervisory approach—insurersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Solvency II—UK transposition and implementation of Solvency IIBREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State....
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31st Jul
Practice notes
Solvency II—essentialsSolvency II—overviewSolvency II is a framework for the taking-up of business and supervision of insurance and reinsurance...
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31st Jul
Practice notes
Solvency II—one minute guideBREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the...
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31st Jul
Practice notes
Regulatory capital treatment of securitisations under CRR and Solvency IIIn each section of this Practice Note, links are given to the relevant...
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30th Jul

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