Financial services regulation for corporate lawyers

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Financial services regulation for corporate lawyers guidance:

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...

Practice Note

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)....

Practice Note

Checklist and record—clearance to deal request by PDMR or director Using this checklist and record: On receipt of a clearance to deal request from a person discharging...

Precedents

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...

Practice Note

This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...

Practice Note

This Practice Note outlines counter-terrorist financing provisions (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000) and related...

Practice Note

This Practice Note outlines counter-terrorist financing provisions (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000) and related...

Practice Note

This precedent memorandum sets out the procedures to be followed by a listed company and its subsidiaries in relation to dealings in company securities. The purpose of...

Precedents

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...

Practice Note

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)...

Practice Note

This [insert document name] has not been approved by an authorised person in accordance with section 21(2)(b) of the Financial Services and Markets Act 2000. Accordingly,...

Precedents

This [insert document name] has not been approved by an authorised person in accordance with section 21(2)(b) of the Financial Services and Markets Act 2000. Accordingly,...

Precedents

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...

Practice Note

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...

Practice Note

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...

Practice Note

Financial Promotion Order: groups of exemption This Practice Note looks at exemptions from the financial promotion restriction which may be relevant to corporate...

Practice Note

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...

Practice Note

Click here to download the latest Anti-Money Laundering 2019 report, published by Getting the Deal Through. Jurisdictions covered The following jurisdictions are covered...

Practice Note

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)...

Practice Note

Confidential Important Notice Memorandum No. [________] provided to [_____________________]. This Information Memorandum has been prepared by [insert name of seller] (the...

Precedents

The law relating to insider dealing is contained in Part V of the Criminal Justice Act 1993 (CJA 1993). The offences contained in CJA 1993 are criminal offences and exist...

Practice Note

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...

Practice Note

Article 18(1) of the Market Abuse Regulation (EU) No 596/2014 (Market Abuse Regulation) provides that an issuer or any person acting on an issuer’s behalf or account must...

Precedents

Article 18(1) of the Market Abuse Regulation (EU) No 596/2014 (Market Abuse Regulation) provides that an issuer or any person acting on an issuer’s behalf or account must...

Precedents

[On headed notepaper of issuer] Strictly private and confidential To: [insert name of the person discharging managerial responsibility] [insert address of the person...

Precedents

[On headed notepaper of PDMR] Strictly private and confidential To: [insert name of person closely associated with the PDMR] [insert address of person closely associated...

Precedents