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Lawyer preparing for mediation—checklist

Lawyer preparing for mediation—checklist This Checklist identifies issues you need to consider when arranging a mediation after the parties have agreed to mediation or the court has ordered it. It covers three stages: • arranging the mediation • the period immediately prior to the mediation, and • what is required at the mediation Arranging the mediation Issue to consider What needs to be done Further guidance Completed The form of mediation Investigate and discuss with your client whether the mediation can and / or should be conducted either:—face to face—by telephone, or—‘online’, ie remotely via video conferencing See: Remote access mediation—checklist The mediator Appoint the mediator. See Practice Note: Choosing a mediator The mediation fees / expenses Agree these with the mediator. These will usually be shared between the parties. See Practice Note: Mediation costs—liability and recovery The mediation agreement Agree the terms of the mediation agreement with the other party / parties and the mediator. See Practice Note: Organising a mediation The administrative arrangements...

Checklist of issues to consider when instructing a notary on a loan transaction

Checklist of issues to consider when instructing a notary on a loan transaction This Checklist sets out the factors to consider when instructing a notary to assist in relation to a loan transaction. It assumes that the notary will be instructed in England or Wales and that local counsel will be engaged to instruct notaries in other jurisdictions if required. For more information on the role and use of notaries in loan transactions, see Practice Note: Execution of documents in a loan transaction — Notarising documents in loan transactions and for more information on notaries in general, see Practice Notes: • Notaries and notarisation—notaries • Notaries and notarisation—notarisation, and • Notaries and notarisation—legalisation Preliminary questions when instructing a notary • What tasks does the notary need to perform? ◦ It is important to find out from local counsel exactly what needs to be done by the notary in order for the document to be admissable in that jurisdiction. Local counsel should send an email attaching the final document(s) to be...

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Regulated mortgage contracts—flowchart

Regulated mortgage contracts—flowchart Background to and scope of this flowchart On 31 October 2004 (a date known as ‘M Day’), lenders and intermediaries of regulated mortgage contracts (RMCs) became regulated. A person that carries on a regulated activity in the UK by way of business, where there is no applicable exclusion or exemption, must be authorised under the Financial Services and Markets Act 2000 (FSMA 2000). The purpose of this flowchart is to set out the main questions to ask a person to determine whether or not they are carrying on the following RMC activities that are regulated under the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544 (RAO): • arranging (bringing about) RMCs (RAO, SI 2001/544, art 25A(1)) • making arrangements with a view to a person who participates in the arrangements entering into a RMC as a borrower (RAO, SI 2001/544, art 25A(2)) • making arrangements to enter into a RMC with a borrower on behalf of a lender (RAO, SI 2001/544, art 25A(2A)) •...

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Arranging deals in home finance transactions

Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. On 31 October 2004 (a date known as M Day), lenders and intermediaries of regulated mortgage contracts (RMCs) became regulated. The Regulation of Financial Services (Land Transactions) Act 2005 enabled the Financial Conduct Authority (FCA) and its predecessor, the Financial Services authority, to regulate activities similar to those that were already regulated in relation to RMCs but which instead involve the provider acquiring land rather than simply providing finance for its purchase by the homeowner. An amendment order in 2006 (SI 2006/2383, which came into effect on 6 April 2007) brought within the remit of regulation home reversion plans (HRPs) as well as home purchase plans (HPPs). HRPs are schemes where a provider buys an interest in a homeowner's property and allows the homeowner to continue to reside in the property. HPPs include certain types of Islamic financing arrangements, such as Ijara or diminishing Musharaka. A further amendment order in...

Arranging deals in investments and operating MTFs, OTFs and electronic systems for public offers of relevant securities

Scope of this Practice NoteThis Practice Note provides information on the regulated activity of arranging deals in investments as well as the regulated activities of operating a multilateral trading facilities (MTFs), operating organised trading facilities (OTFs) and operating electronic systems for public offers of relevant securities under articles 25, 25D, 25DA and 25DB of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001, SI 2001/544 (RAO), including information on applicable exclusionsThe activities of arranging regulated mortgage contracts (RMCs), home reversion plans (HRPs), home purchase plans (HPPs), and arranging regulated sale and rent back agreements can be found in SI 2001/544, arts 25A–25C and 25E. For further information, see Practice Note: Arranging deals in home finance transactions.Arranging (bringing about) deals in investmentsArranging (bringing about) deals in investments falls under the RAO, SI 2001/544, art 25(1) and consists of making arrangements for another person (whether as principal or agent) to:•buy•sell•subscribe to, or•underwritean investment that is a:•security•relevant investment•Lloyd's syndicate capacity and syndicate membership (see article 86 of the RAO), or a...

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ET3 grounds for resisting claim—religion or belief: direct or indirect discrimination, harassment

ET3 grounds for resisting claim—religion or belief: direct or indirect discrimination, harassment [Insert in para 6.1 of response form ET3:] 1 Paragraph 1 of the Grounds of Claim is admitted. 2 It is admitted that on or about [insert date], the Respondent announced the introduction of a new rolling shift system which would require all poultry processors to work on Sunday one week in every four and that the Claimant objected to the new system on the basis that she attends religious services every Sunday. It is admitted that the Respondent has implemented the new shift system. 3 The new shift system was a proportionate means of achieving a legitimate aim. The Respondent had to introduce Sunday working in order to ensure that its poultry business remained profitable and to avoid closing down that part of its operations. A questionnaire circulated amongst employees on or about [insert date] revealed that very few wanted to volunteer for Sunday shifts for a variety of reasons including family and other...

Strategy—action plan and timeline

Strategy—action plan and timeline Person leading strategy review: [insert name] (strategy lead) Coordinator: [insert name of a person who will assist with coordination] Steering group: [insert names of personnel responsible for direction of strategy implementation] Step number Step Actions Timeline 1 Start strategic review process Fix a date for a strategy away day (allow at least 12 weeks’ notice).Discuss and agree:• who will lead the process • who will attend the strategy away day (‘delegates’) • whether an external facilitator is required Book a venue.Complete the ‘Timeline’ section in the remainder of this planStart to complete Precedent: Strategy away day—logistics planner. N/A (but you should start the process at least 14 weeks before the final strategy is required) 2 Initial communication and calendar bookings Book services of external facilitator (if using) and agree timelines, processes and outputs.Inform all delegates of the date of the strategy away day—see Precedent: Strategy away day—itinerary.Ensure the date is in all delegates’ calendars.Update Precedent: Strategy away day—logistics planner. [Insert date (at least 10 weeks...

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Where can I find information relating to FCA perimeter issues?

Where can I find information relating to FCA perimeter issues? The FCA's Perimeter Guidance manual (PERG) provides guidance about the circumstances in which authorisation is required, or exempt person status is available, including guidance on the activities which are regulated under the Financial Services and Markets Act 2000 (the Act) and the exclusions which are available. Application of the Perimeter Guidance manual (PERG) PERG applies to: • a person who is considering carrying on activities in the United Kingdom which may fall within the scope of the Act and is seeking guidance on whether he/she needs to be an authorised person • a person who seeks to become an authorised person under the Act and who is, or is considering, applying for Part 4A permission to carry on regulated activities in the United Kingdom • a person who is seeking guidance on whether any communication he/she may be seeking to make or cause to be made will be a financial promotion and be subject to the restriction...

Where a relevant transfer under TUPE 2006 will transfer the employment of both UK-based and non-UK-based employees to the transferee, what are the transferor’s information and consultation obligations in relation to the non-UK employees, where a works council is in place for the UK-based employees only?

Where a relevant transfer under TUPE 2006 will transfer the employment of both UK-based and non-UK-based employees to the transferee, what are the transferor’s information and consultation obligations in relation to the non-UK employees, where a works council is in place for the UK-based employees only? This Q&A considers only the law of England and Wales. Note that the transferor may be subject to legal obligations in relation to the Transfer of Undertakings (Protection of Employment) Regulations 2006 (TUPE 2006) and other matters in respect of the non-UK employees in the jurisdictions in which those employees work. Legal advice should be sought from specialists in those jurisdictions accordingly. For further general information on questions of applicable law and jurisdiction, see Practice Notes: Applicable law—which system of law applies to the contract or employment relationship and International jurisdiction—allocating employment cases between national courts and tribunals pre-1 January 2021 [Archived]. Where there is a business transfer or service provision change amounting to a relevant transfer under TUPE 2006, the...

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Top UK court expands fraud liability in carbon credits case

Law360, London: Britain's highest court ruled on 7 May 2025 that a major brokerage firm can be held liable for millions of pounds owed to Britain's tax collector from a carbon credits tax fraud, a decision that could expand the reach of insolvency proceedings.

Council of the EU publishes European Commission’s adopted delegated regulation on cryptoasset market abuse: technical standards and cross-border coordination

The Council of the EU has published a the European Commission’s Delegated Regulation supplementing the Markets in Cryptoassets Regulation (Regulation (EU) 2023/1114) (MiCA) regarding market abuse ahead of adoption by the Council.

View the latest UK Parliament Acts documents on Arranging

19 The general prohibition

19  The general prohibition(1)     No person may carry on a regulated activity in the United Kingdom, or purport to do so, unless he is—(a)     an authorised person; or(b)     an exempt person.(2)     The prohibition is referred to in this Act as the general prohibition.

Financial Services and Markets Act 2000 (2000 c 8)

Financial Services and Markets Act 20002000 CHAPTER 8An Act to make provision about the regulation of financial services and markets; to provide for the transfer of certain statutory functions relating to building societies, friendly societies, industrial and provident societies and certain other mutual societies; and for connected purposes.[14th June 2000]BE IT ENACTED by the Queen's most Excellent Majesty, by and with the advice and consent of the Lords Spiritual and Temporal, and Commons, in this present Parliament assembled, and by the authority of the same, as follows:—Part I . . .1 . . .. . .2 . . .. . .3 . . .[3A . . .]4 . . .5 . . .6 . . .[. . .][6A . . .]. . .7 . . .. . .8 . . .9 . . .10 . . .11 . . .. . .12 . . .13 . . .. . .14 . . .15 . . .16 . . .17 . . .18 . . .[Part 1A The Regulators][Chapter 1 The Financial Conduct Authority][The Financial Conduct Authority][1A The Financial Conduct Authority][The FCA's general duties][1B The FCA's general duties][1C The consumer protection objective][1D The integrity objective][1E The competition objective][Interpretation of terms used in relation to FCA's general duties][1F Meaning of “relevant markets” in strategic objective][1G Meaning of “consumer”][1H Further interpretative provisions for sections 1B to 1G][1I Meaning of “the UK financial system”][Modifications applying if core activity not regulated by PRA][1IA Modifications applying if core activity not regulated by PRA][Power to amend objectives][1J Power to amend objectives][Recommendations][1JA Recommendations by Treasury in...