This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark of banks, credit...
Short selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which they do not own at the time of entering into the...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
Regulating Central Securities Depositories Central securities depositories (CSDs) hold securities in a dematerialised form and provide a clearing and settlement service...
IOSCO standards For general information on the International Organization of Securities Commissions (IOSCO), see Practice Note: International Organization of Securities...
This timeline tracks the development of the Prospectus Regulation 2017/1129 from 2015. DateIssuing bodyDocumentDescription 18 February 2020ESMAESMA updates its Q&As...
Short selling: the two key types Regulation (EU) 236/2012 on short selling and certain aspects of credit default swaps came into force in the UK on 1 November 2012 and...
This Resource Note highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the application of,...
This Resource Note highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the application of,...
This Resource Note highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the application of...
This Resource Note outlines the main provisions of Chapter 4 of the Disclosure Guidance and Transparency Rules (DTR 4), which deals with the periodic financial reporting...
This Resource Note outlines the main provisions of Chapter 5 of the Disclosure Guidance and Transparency Rules (DTR 5), which deals with the notification obligations of...
CRA Regulation—background The Credit Rating Agencies Regulation (EC) 1060/2009 (the CRA Regulation) is the core EU legislation relating to Credit Rating Agencies (CRAs)...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
Last updated March 2020 Tracker overview This tracker summarises legislative and regulatory developments from 2001 to the present day in relation to both Regulation (EU)...
What is a credit rating agency methodology? A credit rating agency (CRA) methodology is the body of practices, procedures and rules applied by a CRA when issuing or...
BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...
This Practice Note considers the nature and purpose of stabilisation, the process of stabilisation, the potential offences that may arise when carrying out stabilisation...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
This is part one of three linked Practice Notes; it is advisable to read all three Practice Notes to get a rounded picture of the short selling regime. Background...
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...
