UK, EU and international regulators and bodies

UK, EU and international regulators and bodies guidance:

Introduction to bringing an appeal against an ESA decision The three European Supervisory Authorities (ESAs)—the European Securities and Markets Authority (ESMA), the...

Practice Note

The work and foundations of BIS The Bank for International Settlements (BIS) assists central banks in relation to monetary and financial stability. Its head office is in...

Practice Note

The work and foundations of the Committee on Payments and Market Infrastructures (CPMI) The Committee on Payments and Market Infrastructures (CPMI) is a forum housed...

Practice Note

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure, combined with...

Practice Note

What does EIOPA do? The European Insurance and Occupational Pensions Authority (EIOPA) is one of three European Supervisory Authorities (ESAs) which was created to...

Practice Note

Starting the process of translating policy to legislation At the European level, the development and enforcement of rules by supra-national bodies is governed by the...

Practice Note

This Practice Note looks at the European System of Financial Supervision (ESFS) and micro-prudential supervision on an EU level. It should be read in conjunction with...

Practice Note

The enforcement powers of the FCA The FCA is responsible for the regulation of conduct across the financial services sector, in firms and markets of all sizes and in all...

Practice Note

On 1 April 2013 the Financial Services Authority (FSA) Handbook was split between the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) to...

Practice Note

Who can issue individual guidance? The FCA has a power to issue individual guidance. The PRA was not given equivalent statutory powers in Part 9A of FSMA 2000, however,...

Practice Note

The Three Pillar Supervisory Model 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

FCA and corporate governance Under the Financial Services and Markets Act 2000 (FSMA 2000) the FCA acquired responsibility for a broad and diverse range of regulated...

Practice Note

This Practice Note introduces the Financial Action Task Force (FATF) and its work in relation to setting standards and promoting adoption and use of legal, regulatory and...

Practice Note

Why are the FCA's functions relevant? 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

The role of the FCA The Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a wide-ranging brief to: •...

Practice Note

The FCA's powers as part of the new regulatory arrangements BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This...

Practice Note