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: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
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...
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: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
The principal role of the Financial Services and Markets Act 2000 (FSMA 2000) was to establish and transfer power to the Financial Services Authority (FSA) following the...
Market Abuse Regulation—background and purpose This Practice Note explains the key features of Regulation (EU) 596/2014 (the Market Abuse Regulation), which repealed and...
What is the objective of the Market Abuse Regulation? The Market Abuse Regulation (EU) 596/2014 (Market Abuse Regulation) introduced an updated and strengthened EU market...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
Last updated October 2019 Tracker overview This tracker summarises legislative and regulatory developments from 2001 to the present day in relation to both Regulation...
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: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance on...
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: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
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: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see Practice Note:...
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...
