Authorisation: Financial Services

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5 resources

	Title	Resource type	Date
1	Regulation of insurance in the UK An overview of the regulatory treatment of insurance business in the United Kingdom. The following multi-jurisdictional guide is also available to PLC Financial Services' subscribers: Insurance and Reinsurance Handbook. This guide brings together a range of information on cross-border issues and includes country-specific Q&A guides. Each jurisdiction is described in a separate chapter, written by one of the leading firms on the subject in that jurisdiction.	Practice notes	Maintained
2	Passporting into and out of the UK: an overview An overview of the procedures to be followed by firms wishing to establish branches or provide cross-border services in the European Economic Area (EEA) using passport rights under one of the single market directives. It focuses on the procedures that apply to firms wishing to passport into or out of the UK.	Practice notes	Maintained
3	Passporting by Insurance Undertakings in the European ... In this practice note, Tim Goggin and Charles Rix, Partners in the Financial Institutions Group, Hogan Lovells, set out an overview of the procedures for the establishment of branches and the provision of services by insurance undertakings in the European Economic Area (EEA).	Practice notes	Maintained
4	Insurance and banking business transfers: the FSMA regime In this practice note, originally co-authored by Adam Levitt while he was a partner at Herbert Smith LLP, Geoffrey Maddock, a corporate partner at Herbert Smith Freehills LLP, and Barnaby Hinnigan, a senior associate at the firm, explain the regime for transferring insurance business and banking business contained in Part VII of the Financial Services and Markets Act 2000 (FSMA). The tax issues section of this note has been prepared by Howard Murray, a partner in Herbert Smith Freehills LLP's tax group. This note is in the process of being updated by its authors to reflect the new UK regulatory structure that came into effect on 1 April 2013.	Practice notes	Maintained
5	Acquisitions Directive An overview of the regime under the Acquisitions Directive (2007/44/EC), sometimes referred to as the Qualifying Holdings Directive or the Change of Control Directive. The Acquisitions Directive was intended to improve the supervisory approval process for mergers and acquisitions in the banking, insurance and securities sectors. The note also considers developments in EU legislation relating to qualifying holdings and changes of control since the adoption of the Acquisitions Directive. For information on the UK implementation of the Acquisitions Directive, see Practice note, UK implementation of the Acquisitions Directive.	Practice notes	Maintained

Topic index

Arbitration: England and Wales

Applications to Court

Arbitral Awards and Challenges

Arbitration Act 1996

Arbitration Agreements

Arbitrators and Appointments

Commencing an Arbitration

Conflicts of Law Issues: Arbitration

Costs and Funding: Arbitration

Enforcement: Arbitration

Institutional and Ad-hoc Arbitration

Institutional and Ad-hoc Arbitration: General

Interim Measures: Arbitration

Jurisdictional Issues: Arbitration

Multiparty Arbitration

Procedure and Evidence: Arbitration

Remedies: Arbitration

Construction

Building and engineering contracts

Building Contracts and Contractors

Engineering Contracts

International Construction Contracts

Collateral Warranties and Third Parties

Development Documents

Dispute resolution

Adjudication: ADR

Construction ADR

Construction Arbitration

Construction Litigation

Finance

Project Finance

Real Estate Finance and Investment

General Contract and Boilerplate

Insolvency: Land and Buildings

Procurement and public procurement

Public Procurement

Professional Appointments and Liabilities

Regeneration and the environment

Sustainability and Environment

Regulation and taxation

Health and Safety

Statutory Liabilities: Land and Buildings

Taxation: Land and Buildings

Corporate

Acquisitions

Acquisitions: Auctions

Asset Acquisitions

Cross-border: Acquisitions

Miscellaneous: Acquisitions

Preliminary Agreements

Public Mergers and Acquisitions

Share Acquisitions: Private

Company Law

Company Formation and Constitution

Company administration and meetings

Corporate governance

Cross-border: Company Law and Corporate Governance

Maintenance of Capital and Shareholder Rights

Miscellaneous: Company Law

Policy and Reform: Company Law

Reorganisations, Schemes, Demergers and CVAs

Share Issues, Transfers and Dividends

Equity Capital Markets

Cross-border: Equity Capital Markets

Initial Public Offerings

Listing, Prospectus, Disclosure and Transparency Rules

London Stock Exchange

Miscellaneous: Equity Capital Markets

Policy and Reform: Equity Capital Markets

Prospectus and Marketing

Rights Issues and Other Secondary Issues

Underwriting and Bookbuilding

Financial Reporting

General Contract and Boilerplate

Legal Concepts and Miscellaneous

Conflicts of Interest

Cross-border: Legal Concepts

Financial and Corporate Crime

Miscellaneous: Legal Concepts

Professional Conduct

Statutory Construction

Trading Vehicles

Trusts and Fiduciary Relationships

Partnerships and LLPs

Private Equity and Venture Capital

Dispute Resolution

Alternative Dispute Resolution

Adjudication: ADR

Early Neutral Evaluation: ADR

Expert Determination: ADR

Arbitration

Applications to Court

Arbitral Awards and Challenges

Arbitration Act 1996

Arbitration Agreements

Arbitrators and Appointments

Commencing an Arbitration

Conflicts of Law Issues: Arbitration

Costs and Funding: Arbitration

Institutional and Ad-hoc Arbitration

Interim Measures: Arbitration

Investment Treaty Arbitration

Jurisdictional Issues: Arbitration

Multiparty Arbitration

Procedure and Evidence: Arbitration

General Contract and Boilerplate

EU

Consumer Affairs

Advertising and Marketing

Consumer Redress

Enforcement: Litigation

External relations

General Contract and Boilerplate

Internal Market

Product Liability and Labelling

Supply of Goods and Services

Corporate

Company Formation and Constitution

Company administration and meetings

Corporate governance

Cross-border: Equity Capital Markets

Financial Reporting

Financial and Corporate Crime

Policy and Reform: Company Law

Share Issues, Transfers and Dividends

Cross-border: Commercial and International Trade

EU Regulatory and Legislative Procedures

Economic and Financial Affairs

Conduct of Business Regime: Financial Services

Consumer Credit

Cross-border: Financial Services and Markets

Investment Funds

Miscellaneous: Financial Services

Payment and Settlement Systems

Regulated Activities

Training and Competence: Financial Services

Employment

Atypical Working

Collective Consultation

Cross-border and Immigration

Discrimination: Employment

Employment: Miscellaneous

Funding Litigation

Health and Safety

National Insurance and Social Security Contributions

Pay and Benefits

Redundancy and Business Reorganisation

Restructuring and Insolvency: Basic Concepts

Working Time and Time Off

Energy and Renewables

Enterprise and Industry

Environment

Chemicals and Other Hazardous Substances

Climate change, emissions trading and air pollution

Contaminated Land

Environmental Impact Assessments

Environmental Liability Directive

Environmental Management and Reporting

Environmental Taxes

Miscellaneous: Environment

Nuisance and Noise Control

Pollution Prevention and Control

Radioactive Substances

External relations

Health and Life Sciences

Information Society and Media

Data Protection

Information Technology

Research and Development

Institutional Affairs

Intellectual Property and Information Technology

Trademarks/Trade Marks

Internal Market

Justice and Home Affairs

Public Procurement

Rural and Agricultural Land

Tax

Cross-border: Tax

Disputes and Investigations: Tax

Dividends and Distributions: Tax

Incentives and Pensions: Tax

Miscellaneous: Tax

Reorganisations, Schemes, Demergers and CVAs

Employment

ADR: Employment

Atypical Working

Collective Consultation

Contracts of Employment

Cross-border and Immigration

Directors and Employees: Restructuring and Insolvency

Discipline, Internal Investigations and Grievances

Discrimination: Employment

Employee Data, Monitoring and Privacy

Employment Appeals

Employment Status and Independent Contractors

Employment Tribunals

Families and Pregnancy

General Contract and Boilerplate

Legal Concepts and Miscellaneous

Conflicts of Interest

Cross-border: Legal Concepts

Miscellaneous: Legal Concepts

Professional Conduct

Statutory Construction

Trusts and Fiduciary Relationships

Pay and Benefits

Policies and Procedures: Employment

Redundancy and Business Reorganisation

Restrictive Covenants, Confidentiality and IP

Sickness and Incapacity

Taxation: Employment

Termination of Employment

Transfer of Shares: Employment

Transfer of Undertakings

Working Time and Time Off

Financial Services

IP&IT

Confidentiality

Cross-border: IP&IT

Data Protection

Freedom of Information

General Contract and Boilerplate

Information Technology

Research and Development

Trademarks/Trade Marks

Law Department Management materials

Finding, Keeping and Motivating Talent

Law Firm Partnering

Legal Risk and Compliance

Spend and Structure

Using Technology

Media & Telecoms

Pensions

General Contract and Boilerplate

Legal Concepts and Miscellaneous

Conflicts of Interest

Miscellaneous: Legal Concepts

Professional Conduct

Statutory Construction

Trusts and Fiduciary Relationships

Occupational and personal pensions

Administering Pension Schemes

Auto-enrolment and NEST

Cross-border: Pensions

Discrimination: Pensions

Employers and Occupational Pensions

Funding and Investment: Pensions

Members, Benefits and Pension Sharing

Miscellaneous: Pensions and Retirement Benefits

Pension Protection Fund

Pension Scheme Documents

Pension Trustees

Pensions Regulator

Pensions and Employment

Policy and Reform: Pensions and Retirement Benefits

Public-sector Pensions

Reorganisations and Outsourcing: Pensions

Sales and Acquisitions: Pensions

Tax and Accounting: Pensions

Winding-up and Insolvency: Pensions

Pensions disputes

Challenging the Pensions Regulator

Common Issues in Disputes: Pensions

Court Proceedings: Pensions

Internal Dispute Resolution Procedures: Pensions

Ombudsmen and Tribunals: Pensions

Property

Common Land, Town and Village Greens

Compulsory Purchase, Blight and Compensation

Conservation, Habitats and Wildlife

Contaminated Land

Contracts and Deeds: Land and Buildings

Conveyancing Procedure

Corporate Support: Land and Buildings

Cross-border: Real Estate

Development and Construction

Easements, Covenants and Other Third Party Rights

Energy and Buildings

Enforcement and Remedies: Land and Buildings

Enfranchisement and Right to Buy

Environmental Impact Assessments

Financial and Corporate Crime

Insolvency: Land and Buildings

Land Registration

Land Valuation and Surveyors' Liabilities

Landlord and Tenant

Legal Concepts and Miscellaneous

Professional Conduct

Trusts and Fiduciary Relationships

Local Government

Mortgages and Security: Land and Buildings

Nuisance and Noise Control

Real Estate Finance and Investment

Rural and Agricultural Land

Statutory Liabilities: Land and Buildings

Taxation: Land and Buildings

Public Sector Law

Alternative Dispute Resolution

Adjudication: ADR

Early Neutral Evaluation: ADR

Expert Determination: ADR

Education and Social Services

Children's Services

Mental Capacity

Freedom of Information and Data Protection

Data Protection

Environmental Information Regulations

Freedom of Information

Pensions

Administering Pension Schemes

Common Issues in Disputes: Pensions

Discrimination: Pensions

Employers and Occupational Pensions

Funding and Investment: Pensions

Members, Benefits and Pension Sharing

Miscellaneous: Pensions and Retirement Benefits

Pension Trustees

Pensions and Employment

Public-sector Pensions

Reorganisations and Outsourcing: Pensions

Tax and Accounting: Pensions

Planning

Compulsory Purchase, Blight and Compensation

Conservation, Habitats and Wildlife

Contaminated Land

Development and Construction

Environmental Impact Assessments

Projects (PFI/PPP, ICT and Construction)

Building Contracts and Contractors

Collateral Warranties and Third Parties

Construction ADR

Construction Arbitration

Construction Litigation

Development Documents

Engineering Contracts

Health and Safety

Information Technology

Lending: General

Professional Appointments and Liabilities

Project Finance

Restructuring and Insolvency

Sustainability and Environment

Public Procurement

Information Technology

Partnership Working

Public Procurement

Public and Administrative Law

Central Government

Judicial Review

Local Government

Public Sector Powers

Statutory Construction

Regulation and Enforcement

Consumer Credit

Enforcement and Remedies: Land and Buildings

Enforcement: Litigation

Environmental Management and Reporting

General Procedure and Enforcement: Competition

Health and Safety

Injunctive Relief

Nuisance and Noise Control

Pollution Prevention and Control

Regulators and Enforcement: Environment

Statutory Liabilities: Land and Buildings

Restructuring and Insolvency

Cross-border: Restructuring and Insolvency

Directors and Employees: Restructuring and Insolvency

Insolvency: Land and Buildings

Liquidation, Winding Up and Dissolution

Partnerships and LLPs

Personal Insolvency

Reorganisations, Schemes, Demergers and CVAs

Restructuring and Insolvency Transactions

Restructuring and Insolvency: Basic Concepts

Restructuring and insolvency - tax

Reviewable Transactions

Winding-up and Insolvency: Pensions

Tax

Acquisitions

Asset Acquisitions

Public Mergers and Acquisitions

Share Acquisitions: Private

Anti-avoidance: Tax

Cross-border: Tax

Disputes and Investigations: Tax

Employment

Cross-border and Immigration

Employment Income and Benefits: Tax

Employment Status and Independent Contractors

Incentives and Pensions: Tax

National Insurance and Social Security Contributions

Termination of Employment

Energy and Environment: Tax

Equity capital markets

Initial Public Offerings

Rights Issues and Other Secondary Issues

Finance

Acquisition Finance

Cross-border: Finance

Debt Capital Markets

Islamic Finance

Lending: General

Structured Finance

Swaps and Derivatives

Financial services

Investment Funds

General Contract and Boilerplate

Legal Concepts and Miscellaneous

Miscellaneous: Tax

Owner-managed Businesses

Partnerships and LLPs

Private Equity and Venture Capital

Property

Development and Construction

Landlord and Tenant

Real Estate Finance and Investment

Reorganisations and distributions

Dividends and Distributions: Tax

Reorganisations, Schemes, Demergers and CVAs

Restructuring and insolvency - tax

Stamp duties

Stamp Duty Land Tax

Stamp Duty Reserve Tax

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