Financial services regulation for corporate lawyers

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Practice notes
Companies limited by guaranteeWhat is a company limited by guarantee?Limited companies can be either limited by shares or by guarantee. A company...
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19th May
Practice notes
A company’s constitutionWhat is a company's constitution?A company’s 'constitution' is defined under the Companies Act 2006 (CA 2006) as...
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19th May
Practice notes
Co-operative and community benefit societiesWhat is a co-operative or community benefit society?A co-operative society or community benefit society...
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19th May
Precedents
This Deed is made on [insert date]Parties1[Name of company in which the shares are held] incorporated in England and Wales under number [company...
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19th May
Practice notes
Disclosure Guidance and Transparency Rules requirements—the annual financial reportThis Practice Note discusses the requirements of the Disclosure...
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Produced in partnership with Tessa Park of Moore Kingston Smith 19th May
Practice notes
DTR Resource Note—DTR 5—Vote Holder and Issuer Notification RulesThis Resource Note outlines the main provisions of Chapter 5 of the Disclosure...
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19th May
Practice notes
Redemption of shares—procedureThis Practice Note describes the procedure for a limited company to carry out redemption of its redeemable...
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19th May
Practice notes
Continuing obligations—vote holder and issuer notification rules (DTR 5)This Practice Note focuses on the notification obligations of holders of...
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19th May
Practice notes
Payments for a director’s loss of office—transfer of an undertakingThe Companies Act 2006 (CA 2006) contains provisions that require payments made by...
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19th May
Practice notes
The Transparency DirectiveThis Practice Note provides an overview of the implementation of and key changes introduced by the EU Transparency Directive...
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Produced in partnership with Mr Darragh Connell of Forum Chambers 19th May
Practice notes
G20/OECD Principles of Corporate GovernanceThis Practice Note discusses the Principles of Corporate Governance (Principles) published by the Group of...
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Produced in partnership with Professor Brenda Hannigan of University of Southampton 19th May
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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19th May
Q&As
What is the process for a redesignation of shares?This Q&A examines how a company may carry out a redesignation of shares, meaning a change in the...
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19th May
Practice notes
Quasi-loans to directors, connected persons and related arrangements—requirement to obtain members’ approvalThe Companies Act 2006 (CA 2006) contains...
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19th May
Practice notes
Drafting and negotiating ancillary documents in a share purchase transactionThis Practice Note is part of the Share purchase transaction toolkit.In...
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19th May
Practice notes
Company restoration—restoration by court orderWhy restore a company to the register?When a company has been struck off it may be possible for an...
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19th May

Most recent Financial services regulation for corporate lawyers content

Practice notes
EU Prospectus Regulation trackerLast updated July 2021Tracker overviewThis tracker summarises legislative and regulatory developments from 2001 to the...
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22nd Jul
Practice notes
The Prospectus Regulation—approval of prospectuses and single passportIn this Practice Note, links are given to the relevant provisions of EU and/or...
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22nd Jul
Practice notes
Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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21st Jul
Practice notes
Share incentives aspects of MAR and related guidanceImplementation of MAR in the UKRegulation (EU) No 596/2014, the Market Abuse Regulation ( MAR),...
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15th Jul
Practice notes
Guide to the European Securities and Markets Authority (ESMA)This Practice Note focuses on the membership, role and processes of the European...
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12th Jul
Practice notes
Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 12th Jul
Practice notes
The Prospectus Regulation—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
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12th Jul
Practice notes
The Prospectus Regulation—is a prospectus required?In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK...
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8th Jul
Practice notes
UK Prospectus Regulation trackerLast updated July 2021Tracker overviewThis tracker summarises legislative and regulatory developments in relation to...
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7th Jul
Practice notes
Disclosure Guidance and Transparency Rules trackerLast updated July 2021Tracker overviewThis Disclosure Guidance and Transparency Rules (DTR) tracker...
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7th Jul
Practice notes
The regulation of crowdfunding platforms—essentialsScope of this Practice NoteThis Practice Note discusses the regulatory issues faced by crowdfunding...
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7th Jul
Practice notes
Prospectus Regulation Rules trackerLast updated July 2021Tracker overviewThis Prospectus Regulation Rules (PRR) tracker presents a summary of recent...
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5th Jul
Practice notes
Insider dealing—a quick guideFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 5th Jul
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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1st Jul
Practice notes
Brexit—UK listing and prospectus regimeAt 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a...
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29th Jun
Practice notes
MiFID I, MiFID II and MiFIR—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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28th Jun
Practice notes
Coronavirus (COVID-19)—EU capital markets recovery packageThis Practice Note summarises the new capital markets recovery package of measures proposed...
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28th Jun
Practice notes
Financial Services and Markets Act 2000—essentialsThe principal role of the Financial Services and Markets Act 2000 (FSMA 2000) was to establish and...
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25th Jun
Practice notes
MiFID and non-MiFID businessBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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Produced in partnership with CMS 25th Jun
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
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24th Jun

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