menu-search
LEXISNEXIS_ICON4_SIGNINSign-in LEXISNEXIS_ICONS_SUPPORTHelp

Weekly highlights

View Financial Services by content type:

News
Practice notes
Precedents
Q&As

Latest Financial Services News

FCA says it will act if Google breaks financial promotion rules

FCA says it will act if Google breaks financial promotion rules

The following Corporate Crime news provides comprehensive and up to date legal information on FCA says it will act if Google breaks financial promotion rules

FCA bans Lithuanian fintech linked to Wirecard over AML

FCA bans Lithuanian fintech linked to Wirecard over AML

The following Financial Services news provides comprehensive and up to date legal information on FCA bans Lithuanian fintech linked to Wirecard over AML

USA—Three risk management lessons from pandemic insurance disputes

USA—Three risk management lessons from pandemic insurance disputes

The following Financial Services news provides comprehensive and up to date legal information on USA—Three risk management lessons from pandemic insurance disputes

Switzerland—insurers warned to close expectation gaps on policies

Switzerland—insurers warned to close expectation gaps on policies

The following EU Law news provides comprehensive and up to date legal information on Switzerland—insurers warned to close expectation gaps on policies

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)OverviewThe requirements to have robust systems and controls in a regulated firm to prevent money...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

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...

Practice notes

Complaints handling by financial services firms

CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....
Read More >
19th May
Practice notes

FCA financial crime guidance: FCG, FCTR and supporting materials

FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
Read More >
19th May
Practice notes

PRA-regulated activities and the scope of PRA regulation

PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
Read More >
19th May
Practice notes

Regulated mortgage contracts and home finance transactions defined

Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
Read More >
19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
Read More >
Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
Read More >
19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
Read More >
19th May
Practice notes

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th 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...
Read More >
Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

Public censure by the FCA

Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
Read More >
19th May
Practice notes

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
tag iconIn-house
Q&As

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on land or property? Prior to the implementation of the mortgage credit directive, were CCA 1974 regulated second charge mortgages over land/property subject to CONC?

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on...
Read More >
Produced in partnership with Thomas Samuels of Gough Square Chambers 19th May
Practice notes

Appointed representatives

Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes

FCA inducements rules

FCA inducements rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May

Popular documents

Sale of treasury shares

Sale of treasury shares

Sale of treasury sharesA limited company may hold, or deal with, shares in itself, if certain conditions set out in the Companies Act 2006 (CA 2006) are met. Those shares are held in treasury and referred to as the company's treasury shares.The treasury shares regime is set out in CA 2006, ss

No deal Brexit—jurisdiction (UK and the Lugano Convention) [Archived]

No deal Brexit—jurisdiction (UK and the Lugano Convention) [Archived]

No deal Brexit—jurisdiction (UK and the Lugano Convention) [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note has been produced in partnership with Guy Pendell, Liz Williams and Kushal Gandhi of CMS.This Practice Note covers the situation where the UK

Escrow accounts and escrow agreements

Escrow accounts and escrow agreements

Escrow accounts and escrow agreementsThis Practice Note examines why parties involved in a construction project may enter into an escrow agreement (or escrow deed) to set up an escrow account. It looks at the benefits of paying funds into escrow, how an escrow account operates and the provisions

Perverting the course of justice

Perverting the course of justice

Perverting the course of justiceElements of the offence of perverting the course of justicePerverting the course of justice is a common law offence which can only be tried on indictment in the Crown Court. The elements of the offence are:•a person acts or embarks on a course of conduct•which has a