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...
This Practice Note explains the process for the approval by authorised of financial promotions under section 21 of Financial Services and Markets Act 2000 (FSMA 2000)....
This Practice Note considers the obligations regarding the disclosure and control of inside information under the Market Abuse Regulation (EU) No 596/2014 (Market Abuse...
This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...
This Practice Note outlines counter-terrorist financing provisions (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000) and related...
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...
Background The Market Abuse Directive (2003/6/EC, commonly referred to as 'MAD') was adopted in 2003 and established a legal framework throughout the European Union (EU)...
The Fourth Money Laundering Directive (4MLD), replacing the Third Directive which had been in force since 2005, was transposed across Europe in June 2017. A mere 13...
The Financial Services and Markets Act 2000 (FSMA 2000) creates a range of criminal and civil/regulatory offences. For further information on civil/regulatory breaches...
Financial Promotion Order: groups of exemption This Practice Note looks at exemptions from the financial promotion restriction which may be relevant to...
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...
Click here to download the latest Anti-Money Laundering 2019 report 2019, published by Getting the Deal Through. Jurisdictions covered The following jurisdictions are...
ESMA is an independent European Union Authority established on 1 January 2011 to replace and continue the work of the Committee of European Securities Regulators (CESR)...
The law relating to insider dealing is contained in Part V of the Criminal Justice Act 1993 (CJA 1993). These offences are criminal offences and exist alongside the civil...
This Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope of the Market Abuse Regulation...
FORTHCOMING CHANGE: On 23 November 2018, the FCA published consultation paper CP 18/36 on Brexit: Proposed changes to the Handbook and Binding Technical Standards—second...
