High level guides to key legal concepts for in-house lawyers

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This overview is a guide to the Banking & Finance content within the High-level guides to key legal concepts for in-house lawyers subtopic, with links to appropriate materials. It is written for banking and finance lawyers working in banks and other financial institutions.

High-level guides

The series of 'high level guides' Practice Notes are intended to give in-house lawyers working on banking and finance transactions an overview of a particular legal issue or concept and why it could be relevant for them in performing their in-house role. They describe the key legal principles and/or legislation in each case, then highlight practical examples of when related issues can arise when working on banking and finance transactions in-house. The Practice Notes each provide practical tips for dealing with these issues if they arise along with, where relevant, information about where an in-house lawyer can go within Lexis®PSL to find out more information and keep up-to-date with development in relation to that particular concept.

The following Practice Notes are included in the series:

  1. •

    Introduction to the UK AML/CTF legal and regulatory framework for financial services

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Latest Banking & Finance News

FIA responds to ESMA consultation on CCP participation requirements

Futures Industry Association (FIA) has responded to the European Securities and Markets Authority’s (ESMA) consultation on EMIR 3.0 draft regulatory technical standards on how EU central counterparties should define participation requirements, supporting ESMA’s objective of strengthening Central Counterparty (CCP) resilience through robust, risk‑based participation requirements while emphasising the importance of transparency, non‑discrimination and proportionality under EMIR Level 1. The response calls for CCPs to assess clearing members based on the actual risks they pose, distinguishing regulated non‑bank financial clearing members from non‑financial counterparties that typically clear to hedge commercial exposures, and highlights inconsistencies in the EU clearing landscape, including exemptions from default fund participation and cross‑CCP membership arrangements.

DBT publishes draft statutory guidance clarifying ‘significant influence or control’ for PSCs in companies and LLPs

The Department for Business and Trade (DBT) has published two draft statutory guidance documents on the meaning of ‘significant influence or control’ for the purposes of the Register of People with Significant Control (PSCs) under schedule 1A to the Companies Act 2006 (CA 2006)—one applying to companies and the other to limited liability partnerships (LLPs). Both draft guidance documents will lie before Parliament for 40 days, during which either House may resolve that they should not be approved.

Sustainable finance and ESG round–up—November—December 2025

This edition of the Sustainable finance and ESG round-up for November and December 2025 from the Finance Group includes: (1) European Parliament gives final sign off to sustainability omnibus changes; (2) ICC ratifies Principles for Social Trade Finance and Sustainability-Linked Supply Chain Finance; and (3) ICMA Executive Committee publishes Climate Transition Bond guidelines.

Belgian Supreme Court upholds the application of the 2005 Hague Convention to exclusive choice of court agreements concluded during the Brexit transition period

Dispute Resolution analysis: In a landmark ruling on 27 March 2025 (available in French here), the Belgian Supreme Court (Cour de cassation/Hof van Cassatie) confirmed that exclusive choice of court agreements designating the courts of the UK, concluded during the Brexit transition period, remain governed by the Hague Convention of 30 June 2005 on Choice of Court Agreements (Hague Choice of Court Convention). This case brings judicial clarification to a long-standing uncertainty that had emerged in the wake of Brexit as regards the temporal application of the Hague Choice of Court Convention. The Court expressly held that it is applicable to the UK ‘without any reasonable doubt’ from 1 October 2015 to 31 December 2020 as a State bound via the EU’s approval, and from 1 January 2021 as a Contracting Party. In this article Cedric Berckmans, Adrien Willocx, Victoria Hobbs and Louise Lanzkron of Bird & Bird consider the significance of this case to exclusive jurisdiction agreements concluded during the Brexit transition period and how the enforcement landscape between the EU and the UK has evolved since.

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