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Checklist for compromises of FCA-regulated entities: information requirements

Checklist for compromises of FCA-regulated entities: information requirements The Financial Conduct Authority (FCA) is the conduct regulator for financial services firms and financial markets in the United Kingdom. It has a duty under section 1B of the Financial Services and Markets Act 2000 (FSMA 2000) to pursue certain objectives, one of which is the consumer protection objective. The FCA lists its statutory objectives as to secure an appropriate degree of protection for consumers and to protect and enhance the integrity of UK financial markets, with a view to reducing the number of proposed compromises that they do not consider to be appropriate (see FG22/4, para 1.2). On 5 July 2022, the FCA published guidance on compromises of regulated firms (see FCA Guidance FG22/4 July 2022 and updated in January 2024) following their significant concerns about these tools being proposed and used by firms to avoid paying customers redress (see: LNB News 05/07/2022 72). Practitioners will need to take note of the guidance where the proposed compromise involves regulated companies, meaning...

MVNO agreement—checklist

MVNO agreement—checklist This Checklist covers some of the main provisions to be included in a mobile virtual network operator (MVNO) agreement under which a mobile network operator supplier will provide wholesale access services to an MVNO for resale to its own retail customers. It covers some of the main provisions that are specific to an agreement of this kind. See also the Precedent: MVNO agreement. In this Checklist, the following definitions are used: • Agreement—means the MVNO agreement between the MVNO and the Supplier for the provision of the Services • End-User—means a customer of the MVNO • IPR—means intellectual property rights • MVNO—means mobile virtual network operator, the customer in the Agreement • Services—means the wholesale network services being provided to the MVNO by the Supplier • Supplier—means the mobile network operator providing network services to the MVNO The third column can be used to record observations or comments as the Checklist is worked through. Checklist Further information Notes (if any) General terms and conditions ☐ Consider duration....

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Procurement process—flowchart—worked example

Procurement process—flowchart—worked example This Procurement process flowchart shows the order in which a procurement may take place, together with the elements to be considered to ensure that a transparent and suitable procurement process is followed. It also identifies Precedents available to assist you with the procurement process. This Flowchart is a worked example and is not intended to be definitive. Different organisations may well have very different processes, but it provides a good starting or reference point. The contract value figures have been included for illustrative purposes only. This Flowchart should be read in conjunction with Practice Note: Procurement risk management guide which identifies five key risk management priorities for in-house lawyers supporting the procurement process. See also Precedent: Procurement policy—internal. Note 1 When deciding whether or not you can use a supplier who has previously supplied goods/services to another part of the organisation you should consider: • satisfaction with the supplier • uniformity or standardisation requirements • price efficiency/economies of scale • desirability of reducing reliance on one...

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Alternative care and funding

Alternative care and funding Alternative care People with needs for care and support can receive care from family members, friends and relatives in addition to or in place of help from the local authority (LA). Where LA’s consider an adult may have needs for care and support, they must provide an assessment to determine whether they have such needs. In R (Antoniak) v Westminster, the High Court clarified the meaning of ‘needs’ under Part 1 of the Care Act 2014 (CA 2014). In conducting a needs assessment under CA 2014, it is an assessment of an individual’s needs without regard to the existing help and support that they are already receiving. A need that is being met is still considered a ‘need’. See News Analysis: The meaning of ‘needs’ under the Care Act 2014 (R (Antoniak) v Westminster City Council). Where an adult has needs, and these needs meet the prescribed eligibility criteria, their LA may choose, or may have a duty, to meet those...

The Pre-Action Protocol for the Resolution of Clinical Disputes—pre-6 April 2015 [Archived]

The Pre-Action Protocol for the Resolution of Clinical Disputes—pre-6 April 2015 [Archived] ARCHIVED: This Practice Note has been archived and is not maintained. Note: A new version of the protocol applies from 6 April 2015. For the post-6 April 2015 pre-action protocol, see Practice Note: The Pre-Action Protocol for the Resolution of Clinical Disputes—6 April 2015 onwards. The Clinical Disputes Protocol came into force on 26 April 1999. It arose from the Clinical Disputes Forum, a multi-disciplinary body formed in 1997 as a result of Lord Woolf’s Access to Justice inquiry. It is designed to encourage a climate of openness when something has gone wrong with a patient’s treatment or the patient is dissatisfied with medical treatment. It sets out a timed sequence of steps for patients and health care providers to follow when a dispute arises. It is designed to speed up the exchange of relevant information and increase the prospects of dispute resolution without resorting to legal action. The Clinical Disputes Protocol created a...

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Statutory requirements clauses (construction contracts)

Statutory requirements (currency) 1 References in this Agreement to any statute or statutory instrument include any statute or statu

Confidentiality clauses

For insertion in a sale contract The Seller and the Buyer agree that: • except where such disclosure is required in order to comply with the requirements of any statutory or other competent authority [or for the purpose of any subsequent dealing with or financing of the Property or notification of occupational tenants], neither of them shall disclose to any third person[, except the

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Can an insurer refuse to provide internal correspondence and case notes relating to an insurance claim where a subject access request (SAR) is made under the UK GDPR for such information?

Can an insurer refuse to provide internal correspondence and case notes relating to an insurance claim where a subject access request (SAR) is made under the UK GDPR for such information? This Q&A assumes that the organisation that has received the SAR is a ‘controller’ of the relevant data. For an introduction to the United Kingdom General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime, including key data protection terms and concepts, such as ‘personal data’, 'processing', 'data subject' and ‘controller’, see: Data protection toolkit. As further explained in Practice Notes: The UK GDPR and DPA 2018 for insurers and Data subject rights—access, Article 15 of the UK GDPR gives individuals a right to obtain confirmation from a data controller as to whether or not personal data concerning them is being processed, and where it is, access to the personal data and certain further information. A request for such information is commonly known as a ‘subject access request’ (or a 'SAR' or 'DSAR'). In order to assist...

Where a settlement agreement provides for the employer to make a contribution to the employee’s legal costs, payable direct to the employee’s law firm, can the law firm bring proceedings against the employer if it fails to pay?

Where a settlement agreement provides for the employer to make a contribution to the employee’s legal costs, payable direct to the employee’s law firm, can the law firm bring proceedings against the employer if it fails to pay? For information on: • the legal requirements that must be met for a settlement agreement to be binding and valid to settle statutory employment claims, see Practice Note: Settlement agreements in employment—legal requirements • the practical issues that typically arise in relation to a settlement agreement, see Practice Note: Settlement agreements in employment—practical and tax issues Contribution to legal costs A settlement agreement will typically provide for the employer to make a contribution to the employee’s legal costs. For general information on payment of legal fees incurred by an employee in relation to a settlement agreement generally, see the section of Practice Note: Settlement agreements in employment—practical and tax issues entitled ‘Payment for legal advice’. For a sample clause in the settlement agreement dealing with payment of legal fees, see Clause 13.2...

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ESMA issues opinion on Commission amendments to MiCA RTS

The European Securities and Markets Authority (ESMA) has issued an opinion responding to the European Commission amendments to the regulatory technical standards (RTS) specifying the requirements for policies and procedures on conflicts of interest for crypto-asset service providers and the details and methodology for the content of disclosures on conflicts of interest under the Markets in Cryptoassets Regulation (Regulation EU) 2023/1114) (MiCA).

Five questions for Katten partner Nathaniel Lalone

Law360, London: The Digital Operational Resilience Act (DORA), which came into force on 17 January 2025, has set tough new rules for financial businesses in the EU to prevent disruptions in digital services from external providers .Nathaniel Lalone, partner at Katten Muchin Rosenman LLP, explores how DORA could have an impact on some UK financial entities.