UK regulators—financial services

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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 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
FCA client classification requirementsBREXIT: 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—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 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
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 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
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 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

Most recent UK regulators—financial services content

Practice notes
Payment Systems Regulator—duties and powersGeneral dutiesThe Payment Systems Regulator (PSR) has a number of statutory duties and powers under the...
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Produced in partnership with Sidley Austin 20th Sep
Practice notes
Financial Conduct Authority—functionsWhy are the FCA's functions relevant?The Financial Conduct Authority (FCA) forms part of the regulatory structure...
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20th Sep
Practice notes
FCA—corporate governanceFCA and corporate governanceThe Financial Conduct Authority (FCA) was established on 1 April 2013, taking over responsibility...
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Produced in partnership with Maclay Murray & Spens LLP 17th Sep
Practice notes
FCA supervisory approachBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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14th Sep
Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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14th Sep
Practice notes
Payment Systems Regulator—supervisory approachThe Payment Systems Regulator (PSR) consulted on its approach to supervising payment systems in a...
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Produced in partnership with Sidley Austin 8th Sep
Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th Aug
Practice notes
Requirements for listing on the Official List of the Financial Conduct AuthorityThis Practice Notice focuses on the two segments of the UK listing...
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12th Aug
Practice notes
Payment Systems Regulator—establishment, constitution and remitEstablishment of the PSRThe UK government commissioned in 1998 an independent review of...
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11th Aug
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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11th Aug
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
Financial Conduct Authority—structure and constitutionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
Prudential Regulation Authority—powersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Speechly Bircham 11th Aug
Practice notes
Prudential Regulation Authority—designation of investment firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Practice notes
Prudential Regulation Authority—objectives and principlesScope of PRA regulationWhile Prudential Regulation Authority (PRA)-regulated firms are...
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Produced in partnership with Speechly Bircham 11th Aug
Practice notes
Prudential Regulation Authority—supervisory approach—deposit-takersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Practice notes
Prudential Regulation Authority—Proactive Intervention FrameworkBackgroundAs the prudential regulator for insurers, banks and also certain investment...
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11th Aug
Practice notes
Prudential Regulation Authority—structure, constitution, functions and dutiesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...
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Produced in partnership with Speechly Bircham 11th Aug
Practice notes
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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11th Aug
Practice notes
The Bank of EnglandBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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11th Aug

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