CPD Hours Level
Seminar 3 IntroductionInformation
Accreditation Information
SRA Competency B


This introductory level half day course will navigate delegates through the minefield of legal and regulatory issues facing a peer-to-peer lending platform or a crowdfunding platform that issues mini-bonds.

The Financial Conduct Authority is struggling with the myriad of business models put forward by the crowdfunding platforms, and is currently consulting on new rules and regulations.

The course will consider the different business models and how they are regulated, as well as covering practical issues as to what is currently acceptable to the FCA in order to get through the rigorous authorisations process.

If you are thinking about setting up or advising a peer-to-peer lending or mini-bonds platform, are an institutional investor looking to deploy funds on a platform or are looking to issue a mini-bond, then this course is for you.

What You Will Learn

This course will cover the following:

  • What is peer-to-peer lending and crowdfunding?
  • What are mini-bonds?
  • The differing business models within peer-to-peer
  • An in-depth look into Article 36H of the Regulated Activities Order requirements
  • The authorisation process
  • Mini-bonds, client categorisation and how to avoid prospectus requirements
  • A quick look at the Financial Promotions regime
  • Platform terms and conditions - what you need to know
  • The FCA’s Policy Statement PS19/14 - the new rules coming into force December 2019

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Future dates are coming soon.
Please let us know if you wish to be notified.
Prices (ex VAT)
Plan Information
Ticket Information
Group bookings
Discounts are available for multiple places and if you have 5 or more people interested in this course and would like to discuss holding it in your area or on an in-house basis then please email us at information@mblseminars.com
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