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Brexit legislation tracker

This Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the UK’s withdrawal from the

General principles of insurance contract law

What is insurance law?Insurance law can be split into three parts:•insurance contract law which governs the contractual relationship between insureds

Disclosure requirements for occupational and personal pension schemes—the 2013 disclosure regulations

CORONAVIRUS (COVID-19) UPDATE: In light of the coronavirus pandemic, the Pensions Regulator (TPR) issued guidance setting out reporting easements

Insurance Distribution Directive (IDD)—organisational and conduct of business requirements

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

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

21st Oct

In-house

Practice notes

Financial services outsourcing—post MiFID II implementation

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...

19th Oct

Practice notes

AIFMD—the marketing of AIFs, passporting and third country provisions

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...

5th Oct

Practice notes

Regulated activities relating to consumer credit

This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...

5th Oct

In-house

Practice notes

The regulation of crowdfunding platforms

This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...

5th Oct

Practice notes

Market Abuse Regulation (MAR)—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...

1st Oct

Practice notes

MLD4 and 2017 MLRs—customer due diligence checklist for financial services firms

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...

26th Sep

In-house

Practice notes

AIFMD—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...

26th Sep

Practice notes

Payment Services Regulations 2017—scope

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. For...

26th Sep

Practice notes

Regulated mortgage contracts and home finance transactions defined

Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...

25th Sep

Practice notes

Consumer credit: rules relating to arrears, default and recovery

Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...

25th Sep

Practice notes

MiFID II conduct of business and investor protection requirements

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

25th Sep

Practice notes

Regulated activities—exempt persons

In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...

25th Sep

Practice notes

Goode on Consumer Credit—materials

Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...

25th Sep

Practice notes

Exclusions applying to several specified kinds of activity

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...

25th Sep

Practice notes

Appointed representatives

This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...

25th Sep

Most recent Risk management and controls content

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...

16th Oct

Practice notes

Data protection principles 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...

Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 16th Oct

Practice notes

Introduction to the EU GDPR and UK GDPR

Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...

16th Oct

In-house

Practice notes

International transfers of personal data under the DPA 1998 [Archived]

ARCHIVED: This Practice Note introduces the data export restriction under the Data Protection Act 1998 (DPA 1998) prohibiting the transfer of personal...

Produced in partnership with Fieldfisher LLP 16th Oct

Practice notes

Financial services firms, privacy and third parties—issues to consider

Why is data protection of relevance?Appropriate use and handling of personal data is very much at the heart of the objectives of the Financial Conduct...

Produced in partnership with Stephen Bonner of KPMG 19th Oct

Practice notes

Cybersecurity regulation and best practice in the US and UK

Introduction to cybersecurity in financial services firmsIn the wake of continued escalations in phishing and denial of service attacks against banks...

Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 19th Oct

Practice notes

The regulatory approach to data security in financial services

Legislative framework for data securityGeneral Data Protection Regulation The General Data Protection Regulation (EU) 2016/679 (GDPR) applies from 25...

19th Oct

Practice notes

Data portability

Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...

Produced in partnership with Alex Brown of Simmons & Simmons 19th Oct

Practice notes

UK GDPR and EU GDPR—extra-territorial reach

Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...

19th Oct

Practice notes

UK GDPR and EU GDPR—sanctions and enforcement

Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...

19th Oct

Practice notes

The Data Protection Act 2018

Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...

19th Oct

In-house

Practice notes

Financial services outsourcing—post MiFID II implementation

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...

19th Oct

Practice notes

Non-executive directors (NEDs) and effective corporate governance—expectations of the Financial Conduct Authority (FCA)

General role and responsibility of a non-executive director (NED)For information about the roles and responsibilities of NEDs, see Practice Note:...

21st Oct

Practice notes

Managing personal data breaches

Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...

22nd Oct

Practice notes

Supply chains under data protection law—arrangements between controllers and processors

Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...

23rd Oct