FCA consults on cryptoasset regulation proposals
Regulated activities
Understanding the intricate landscape of financial regulation is crucial for compliance and risk management. Our expert guidance provides clear, concise advice on the intricacies of regulated activities within the financial sector. Stay ahead with up-to-date insights and practical solutions tailored for legal professionals navigating the ever-evolving regulatory environment.
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Practice notes
Accepting depositsBackground to the regulated activity of accepting depositsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
2nd Mar
Practice notes
What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
2nd Mar
Practice notes
Fund management—Cayman Islands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Cayman Islands...
2nd Mar
Practice notes
Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
1st Mar
Practice notes
Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, new rules on NURS...
Produced in partnership with Elizabeth Budd of Pinsent Masons
28th Mar
Practice notes
Complying with the collective investment schemes sourcebook (COLL)The Financial Conduct Authority’s Collective Investment Schemes Sourcebook (COLL) is...
Produced in partnership with Lucy Frew, formerly of Gide Loyrette Nouel LLP
1st Mar
Practice notes
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...
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...
Produced in partnership with Russell Kelsall LLB (Hull); LPC (Shef) of TLT
28th Mar
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...
1st Mar
Practice notes
Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
1st Mar
Practice notes
Regulated activities relating to dormant assetsBackground to regulated activities relating to handling dormant assetsUnder section 19 of the...
1st Mar
Practice notes
UK regulation of payment services providers—essentialsScope of this Practice NoteThe Payment Services Regulations 2017, SI 2017/752 (PSRs 2017)...
1st Mar
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Produced in partnership with Lora Froud of Macfarlanes
28th Mar
Practice notes
Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
1st Mar
Practice notes
Financial Ombudsman Service—eligible complainantsWhat is an 'eligible complainant'?In order to refer a complaint to the Financial Ombudsman Service...
1st Mar
Practice notes
FCA Handbook—introductionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
2nd Mar
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