UK, EU and international regulators and bodies

Discover essential insights into key UK, EU, and international regulatory bodies shaping the financial sector. Stay compliant by understanding legislative changes, cross-border implications, and strategic directives. Our practical guidance helps you navigate complex frameworks, keep up with regulatory updates, and align your practice with current mandates and international standards. Enhance your expertise with comprehensive information on best practices across jurisdictions, ensuring your global operations remain informed and compliant.

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EU regulators—financial services International bodies—financial services regulation UK regulators—financial services

Latest Financial Services News

Lexis+ Financial Services—daily round-up (1 April 2026)

Lexis+ Financial Services—daily round-up (1 April 2026)

A round-up of financial services developments, including (among other things) BoE and PRA respond to government request for information on AI...

FCA failed British steel pensioners, review finds

FCA failed British steel pensioners, review finds

Law360, London: The Financial Conduct Authority (FCA) failed to protect former members of the British Steel Pension Scheme (BSPS) from foreseeable...

Assessing potential legal claims from private credit turmoil

Assessing potential legal claims from private credit turmoil

Law360, Expert analysis: Private credit markets have experienced significant disruption. In February 2026 Market Financial Solutions (MFS) a UK...

Supreme Court holds dealing with retail clients is a distinct ‘part’ of business under section 39 of the Financial Services and Markets Act 2000, so authorised person not liable for appointed representative’s dealings outside scope of permission (Kession Capital Ltd v investors)

Supreme Court holds dealing with retail clients is a distinct ‘part’ of business under section 39 of the Financial Services and Markets Act 2000, so authorised person not liable for appointed representative’s dealings outside scope of permission (Kession Capital Ltd v investors)

The Supreme Court has unanimously allowed the appeal of Kession Capital Ltd, holding that dealing with retail clients constitutes a distinct ‘part’ of...

Featured Financial Services content

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...

Second charge mortgage regime

Second charge mortgage regime

Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...

Practice notes

FCA client money rules

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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30th May
Practice notes

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, key investor information...
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Produced in partnership with Elizabeth Budd of Pinsent Masons
13th Oct
Practice notes

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial services

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial servicesThis Practice Note provides a detailed introduction to the...
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2nd Jun
Practice notes

Debt sale and purchase agreements

Debt sale and purchase agreementsThe debt sale and purchase market is an important way for lenders and debt sellers to reduce balance sheet liability....
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2nd Jun
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Practice notes

Consumer Credit Act 1974—early settlement

Consumer Credit Act 1974—early settlementIntroduction to early settlementBorrowers are entitled, at any time, to bring regulated agreements to an end....
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Produced in partnership with George Mallet of Henderson Chambers
13th Oct
Q&As

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the customer clears the arrears but leaves default sums outstanding, is the lender required to keep sending subsequent notices of sums in arrears under CCA 1974, s 86B(5)(b)?

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the...
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Produced in partnership with Russell Kelsall of Walker Morris
13th Oct
Practice notes

FCA Handbook—introduction

FCA Handbook—introductionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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30th May
Practice notes

Unregulated collective investment schemes—essentials

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
13th Oct
Practice notes

Credit limits

Credit limitsThis Practice Note provides an overview of the rules that apply to credit limits. A borrower will be set a credit limit on the maximum...
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2nd Jun
Practice notes

Consumer credit agreements—pre-contract requirements

Consumer credit agreements—pre-contract requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Dan Jones of Orrick, Herrington & Sutcliffe and Guy Stevenson of Orrick, Herrington & Sutcliffe
13th Oct
Practice notes

What are regulated activities?

What are regulated activities?Scope of this Practice NoteThis Practice Note explains what constitutes regulated activities under the UK regulatory...
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2nd Jun
Practice notes

MiFID and non-MiFID business

MiFID and non-MiFID businessThis Practice Note summarises what MiFID business is as the term is defined in the Financial Conduct Authority (FCA)...
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2nd Jun
Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessBackgroundAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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30th May
Practice notes

Financial Services Act 2012 [Archived]

Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....
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30th May
Practice notes

The general prohibition and implications of its breach

The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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30th May
Practice notes

Suspicious transaction and order reports (STORs) under the UK Market Abuse Regulation

Suspicious transaction and order reports (STORs) under the UK Market Abuse RegulationThis Practice Note details the suspicious transaction and order...
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2nd Jun

Popular documents

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

What is the difference between an appeal and a review?

What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid

Can shares in a limited company that have not been paid-up at all be cancelled?

Can shares in a limited company that have not been paid-up at all be cancelled?A limited company having a share capital may not alter that share capital, except in the ways listed in section 617 of the Companies Act 2006 (CA 2006). Shares in a company cannot simply be cancelled without following an