The following Financial Services practice note provides comprehensive and up to date legal information covering:
This Practice Note considers the implications of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) being within the remit of the Freedom of Information Act 2000 (FIA 2000). It supplements general notes on freedom of information and does not contain detailed information on FIA 2000 requests or responses. Specifically, this Practice Note considers issues for firms where the regulators could disclose information which a firm considers to be commercially sensitive or confidential. For further information, see Lexis®PSL IP and IT Practice Notes: Compliance with a freedom of information request, Absolute exemptions to a freedom of information request and Freedom of information request—flowchart.
For the purposes of FIA 2000, the PRA and the FCA are designated as a public authority, which means the public can make requests to the either or both regulators for disclosure of the recorded information it keeps.
Information on the FCA's policies and procedures on FIA requests can be found on the FCA's website and includes:
the FCA's publication scheme guide to information, explaining the publication scheme that the FCA is required to publish and maintain under FIA 2000
the FCA's webpage FCA and the Freedom of Information Act
the FCA's Freedom of Information Act Fees Statement which includes information on how to make a freedom of information request, and
a Disclosure Log listing information which
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This Practice Note considers proprietary estoppel from a generic standpoint.For industry specific guidance on proprietary estoppel, see Practice Notes:•Estoppel and property law•Mortgages by estoppelProprietary estoppel—what is it?Unlike the other forms of estoppel (see Practice Note: Estoppel—what,
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive disclosures under Part 7 of the Proceeds of Crime Act 2002 (POCA 2002) or Part III of the Terrorism Act 2000 (TA 2000)—see Requirement to appoint a
This Practice Note discusses the common law doctrine of privity of contract; the equitable and statutory exceptions to it; how the doctrine affects enforcing a contract against a third party and what happens when, notwithstanding the lack of privity, a contract has an indirect effect on a third
This Practice Note looks at CE-File electronic working in the courts under CPR PD 51O, in the context of case management. It provides guidance on how to file a document electronically, deal with rejected electronic filings, issue a claim electronically, file electronic bundles (eBundles) for case
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