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Latest Financial Services News

FCA imposes first fine for transaction reporting failures under UK MiFIR

FCA imposes first fine for transaction reporting failures under UK MiFIR
Commission adopts amendment to EU CRR RTS on call and put options mapped to commodity risk category

Commission adopts amendment to EU CRR RTS on call and put options mapped to commodity risk category
Special administrators of insolvent investment bank fail to obtain approval for a proposed litigation reserve—Re Wealthtek LLP (In special administration)

Special administrators of insolvent investment bank fail to obtain approval for a proposed litigation reserve—Re Wealthtek LLP (In special administration)

The following Restructuring & Insolvency news provides comprehensive and up to date legal information on Special administrators of insolvent investment bank fail to obtain approval for a proposed litigation reserve—Re Wealthtek LLP (In special administration)

ESMA publishes final report on proposed amendments to RTS on CCP colleges to align with EMIR 3

ESMA publishes final report on proposed amendments to RTS on CCP colleges to align with EMIR 3

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...

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...

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...

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principles

Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...

Practice notes

Accepting deposits

Accepting depositsBackground to the regulated activity of accepting depositsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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2nd Mar
Practice notes

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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2nd Mar
Practice notes

Fund management—Cayman Islands—Q&A guide

Fund management—Cayman Islands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Cayman Islands published...
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2nd Mar
Practice notes

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...
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1st Mar
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, new rules on NURS...
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Produced in partnership with Elizabeth Budd of Pinsent Masons
1st Mar
Practice notes

Complying with the collective investment schemes sourcebook (COLL)

Complying with the collective investment schemes sourcebook (COLL)The Financial Conduct Authority’s Collective Investment Schemes Sourcebook (COLL) is...
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Produced in partnership with Lucy Frew, formerly of Gide Loyrette Nouel LLP
1st Mar
Practice notes

Different types of short selling

Different types of short sellingShort selling: the two key typesRegulation (EU) 236/2012 (OJ L 86/1) (the EU Short Selling Regulation) came into force...
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Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP
1st Mar
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 LLB (Hull); LPC (Shef) of TLT
1st Mar
Practice notes

What are regulated activities?

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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1st Mar
Practice notes

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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1st Mar
Practice notes

Regulated activities relating to dormant assets

Regulated activities relating to dormant assetsBackground to regulated activities relating to handling dormant assetsUnder section 19 of the Financial...
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1st Mar
Practice notes

UK regulation of payment services providers—essentials

UK regulation of payment services providers—essentialsScope of this Practice NoteThe Payment Services Regulations 2017, SI 2017/752 (PSRs 2017)...
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1st Mar
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
2nd Mar
Practice notes

Complaints handling by financial services firms

Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
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1st Mar
Practice notes

Financial Ombudsman Service—eligible complainants

Financial Ombudsman Service—eligible complainantsWhat is an 'eligible complainant'?In order to refer a complaint to the Financial Ombudsman Service...
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1st Mar
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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2nd Mar

Popular documents

Changing the authorised corporate director of an open-ended investment company

Changing the authorised corporate director of an open-ended investment companyThis Practice Note examines the key regulatory requirements and issues when changing the authorised corporate director (ACD) of an open-ended investment company (OEIC), including the background to OEICs and ACDs; the

Regulation of Key Investor Information Documents [Archived]

Regulation of Key Investor Information Documents [Archived]This Practice Note examines the regulation of key investor information documents (KIIDs) under Articles 78–82 of Directive 2009/65/EC (the UCITS Directive), Chapter 4 of the Financial Conduct Authority (FCA) Handbook on Collective Investment

European Long-Term Investment Funds Regulation (the ELTIF Regulation)

European Long-Term Investment Funds Regulation (the ELTIF Regulation)This Practice Note analyses the European Long-Term Investment Fund (ELTIF) Regulation (EU) 2015/760, including legislative background, scope, authorisation, permitted investments, disclosures and marketing of ELTIFs. The ELTIF

AIFMD—essentials

AIFMD—essentialsThis Practice Note explores key elements of the Alternative Investment Fund Managers Directive (Directive 2011/61/EU) (AIFMD), including the scope of the AIFMD, exemptions available under the AIFMD, the AIFMD regulatory framework, the AIFMD authorisation process and AIFMD for small