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Latest Financial Services News

The Upper Tribunal dismisses application to prohibit publication of FCA’s Decision Notice for non-financial misconduct [Frensham v FCA]

The Upper Tribunal dismisses application to prohibit publication of FCA’s Decision Notice for non-financial misconduct [Frensham v FCA]

The following Financial Services news provides comprehensive and up to date legal information on The Upper Tribunal dismisses application to prohibit publication of FCA’s Decision Notice for non-financial misconduct [Frensham v FCA]

Contractual interpretation by administrators and common sense (Avery-Gee and others v Sibley and others)

Contractual interpretation by administrators and common sense (Avery-Gee and others v Sibley and others)

The following Financial Services news provides comprehensive and up to date legal information on Contractual interpretation by administrators and common sense (Avery-Gee and others v Sibley and others)

Financial Services weekly highlights—8 April 2021

Financial Services weekly highlights—8 April 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—8 April 2021

Ringing the changes with the CPS’s Economic Crime Strategy 2025

Ringing the changes with the CPS’s Economic Crime Strategy 2025

The following Corporate Crime news provides comprehensive and up to date legal information on Ringing the changes with the CPS’s Economic Crime Strategy 2025

Featured Financial Services content

What is electronic money?

What is electronic money?

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

The Single Rulebook

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Regulatory capital—purpose, quantity and quality

Regulatory capital—purpose, quantity and quality

Brexit; As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Practice notes

Application of the FCA's COBS 4 rules

Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes

Basel Accord

The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes

Fair and Effective Markets Review (FEMR)—one minute guide

On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes

Recognised investment exchanges

Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
tag iconIn-house
Practice notes

European Venture Capital Funds (EuVECA) Regulation

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes

Entering into a consumer hire agreement as owner

BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
Read More >
9th Nov
Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes

Debt sale and purchase agreements

The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
tag iconIn-house
Practice notes

Second Wire Transfer Regulation (WTR2)—essentials

Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
9th Nov
Practice notes

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
tag iconBrexit
Practice notes

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes

What is credit and what is a regulated consumer credit agreement?

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Risk management and controls content

Practice notes

Managing personal data breaches

Data security is a cornerstone of the UK General Data Protection Regulation (UK GDPR). The sixth data protection principle (the integrity and...
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9th Apr
Practice notes

Outsourcing in the insurance sector

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
tag iconIn-house
Practice notes

Cloud computing—Austria—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Austria published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes

Cloud computing—Germany—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Germany published as part of the Lexology Getting the Deal Through...
Read More >
9th Apr
Practice notes

Cloud computing—United Kingdom—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in United Kingdom published as part of the Lexology Getting the Deal...
Read More >
9th Apr
Practice notes

Cybersecurity—Germany—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Germany published as part of the Lexology Getting the Deal Through...
Read More >
9th Apr
Practice notes

Cloud computing—Sweden—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Sweden published as part of the Lexology Getting the Deal Through...
Read More >
9th Apr
Practice notes

Notice obligations under the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
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9th Apr
Practice notes

Key definitions under data protection law

On 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK, equivalent EEA data...
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9th Apr
Practice notes

Non-disclosure exemptions under the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
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9th Apr
Practice notes

Subject access exemptions under the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes

Exemptions to the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
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9th Apr
Practice notes

Applying exemptions under the DPA 1998—reference table [Archived]

The table in this Practice Note identifies and briefly summarises the principal exemptions available under the Data Protection Act 1998 (DPA 1998)....
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9th Apr
Practice notes

Key definitions under the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes

Cloud computing—France—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in France published as part of the Lexology Getting the Deal Through...
Read More >
9th Apr
Practice notes

The Data Protection Act 2018

The Data Protection Act 2018 (DPA 2018) came into force on 25 May 2018. As first enacted it introduced four distinct data protection regimes into UK...
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9th Apr
tag iconBrexit tag iconIn-house
Practice notes

Cloud computing—Belgium—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Belgium published as part of the Lexology Getting the Deal Through...
Read More >
9th Apr
Practice notes

Applicability and scope of the DPA 1998 [Archived]

ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes

Cloud computing—Netherlands—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Netherlands published as part of the Lexology Getting the Deal...
Read More >
9th Apr
Practice notes

Financial services outsourcing—post MiFID II implementation

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
8th Apr

Popular documents

LEXISNEXIS

Causation and intervening acts in criminal cases

Criminal offences are generally divided into two categories: •conduct crimes, and •result crimesA conduct crime is a crime where only the forbidden conduct needs to be proved. For example, an accused is guilty of dangerous driving if they drove a motor vehicle dangerously on a road or other public

LEXISNEXIS

Quantum meruit (value of services) and quantum valebat (value of goods)

When is quantum meruit and quantum valebat relevant?Claims in quantum meruit (value of services) and quantum valebat (value of goods) arise in diverse situations ranging from where contractual terms are silent on issues of payment to where there is no contract at all (Serck v Drake & Scull).General

LEXISNEXIS

Wounding or causing grievous bodily harm with intent

The offence of causing grievous bodily harm with intentWounding or causing grievous bodily harm (GBH) with intent is triable only in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must prove the defendant unlawfully

LEXISNEXIS

Letter to client on disclosure obligations under CPR 31

This Precedent letter covers disclosure obligations under CPR 31. It does not apply to proceedings subject to the disclosure pilot scheme under CPR PD 51U. For guidance on the disclosure pilot scheme, see Practice Note: Business and Property Courts—the disclosure pilot scheme. For a client letter on