Financial services regulation for corporate lawyers

Navigate the complex landscape of financial services regulation with ease. Equip your team with detailed insights and practical guidance tailored for corporate legal professionals. Stay ahead with the latest compliance requirements, regulatory updates, and best practices essential for advising clients in the financial sector.

View Corporate by content type:

News
Practice notes
Precedents
Q&As

Sub Topics We Cover

Disclosure and transparency Financial promotion Market abuse and market conduct MiFID II Prospectus Regulation UK and EU equity capital markets regulation (general) US financial services regulation

Latest Corporate News

QCA publishes new suite of boardroom guides

QCA publishes new suite of boardroom guides
Takeover Panel proposes reforms to address dual class share structures, IPO disclosures and share buybacks

Takeover Panel proposes reforms to address dual class share structures, IPO disclosures and share buybacks

The following Corporate news provides comprehensive and up to date legal information on Takeover Panel proposes reforms to address dual class share structures, IPO disclosures and share buybacks

ISSB consults on amendments to SASB Standards and IFRS S2 guidance

ISSB consults on amendments to SASB Standards and IFRS S2 guidance
Takeover Panel launches consultation on dual class shares, IPOs and buybacks

Takeover Panel launches consultation on dual class shares, IPOs and buybacks

Featured Corporate content

Separate legal personality and the corporate veil

Separate legal personality and the corporate veil

Separate legal personality and the corporate veilCorporate legal personality—the Salomon principleA properly formed registered company is a separate...

A company’s constitution

A company’s constitution

A company’s constitutionWhat is a company's constitution?A company’s 'constitution' is defined under the Companies Act 2006 (CA 2006) as...

Allotment and issue of shares—fundamentals

Allotment and issue of shares—fundamentals

Allotment and issue of shares—fundamentalsSTOP PRESS: A significant restructuring of the UK listing regime came into effect on 29 July 2024, which...

Private companies limited by shares

Private companies limited by shares

Private companies limited by sharesThis Practice Note summarises the main features of a private company limited by shares. It also covers key...

Practice notes

Holding an AGM of a private company or unlisted public company

Holding an AGM of a private company or unlisted public companyThis Practice Note summarises the law, guidelines and market practice relating to the...
Read More >
2nd Jun
Practice notes

Removal of a director

Removal of a directorThis note should be read in conjunction with Practice Note: Appointment, retirement and resignation of a director.For an...
Read More >
30th May
Practice notes

Unlimited companies

Unlimited companiesThis Practice Note summarises the main features of an unlimited company and why an unlimited company might be used as a vehicle to...
Read More >
2nd Jun
Practice notes

Loan notes—fundamentals

Loan notes—fundamentalsThis fundamentals note considers some of the key characteristics of loan notes which may be issued by a private limited company...
Read More >
2nd Jun
Practice notes

Private equity investment—ratchets

Private equity investment—ratchetsA ratchet in private equity is a mechanism to vary the amount of equity held by founders, managers and employees...
Read More >
30th May
Practice notes

Directors’ remuneration

Directors’ remunerationCompany directors are not, by virtue only of their office as director, automatically entitled under company law to remuneration...
Read More >
30th May
Practice notes

Drag along and tag along—fundamentals

Drag along and tag along—fundamentalsDrag along and tag along rights are common provisions in private equity (PE)/venture capital (VC) and corporate...
Read More >
30th May
Practice notes

A guide to share purchase agreements

A guide to share purchase agreementsThis Practice Note provides an overview of the agreement for the sale and purchase of shares in a private limited...
Read More >
2nd Jun
Practice notes

Transfer of shares—law and procedure

Transfer of shares—law and procedureThere are a number of circumstances in which shares in a company may be transferred, the most common of which are...
Read More >
2nd Jun
Practice notes

Companies limited by guarantee

Companies limited by guaranteeWhat is a company limited by guarantee?Limited companies can be either limited by shares or by guarantee. A company...
Read More >
30th May
Practice notes

Quorum requirements for general meetings (including AGMs)

Quorum requirements for general meetings (including AGMs)This Practice Note summarises the law relating to quorum requirements for a company’s general...
Read More >
30th May
Practice notes

Company records—a company's statutory registers

Company records—a company's statutory registersThe Companies Act 2006 (CA 2006) requires companies to keep the following statutory registers:•the...
Read More >
2nd Jun
Practice notes

Fiduciary duties of directors

Fiduciary duties of directorsThis Practice Note summarises the traditional fiduciary duties of company directors, including the duty to act in the...
Read More >
30th May
Practice notes

Share certificates

Share certificatesShares in a company can be issued as certificated shares or uncertificated shares.Shares issued by private companies and unlisted...
Read More >
2nd Jun
Practice notes

Issue of redeemable shares

Issue of redeemable sharesA limited company having a share capital may issue redeemable shares. Redeemable shares are a statutory concept contained in...
Read More >
2nd Jun
Practice notes

Directors’ board meetings—fundamentals

Directors’ board meetings—fundamentalsUnlike company general meetings and annual general meetings (AGMs), there are no specific provisions in the...
Read More >
30th May

Popular documents

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

Contributory negligence in personal injury claims

Contributory negligence in personal injury claimsContributory negligence is a partial defence which can lead to a discount in damages.Other defences may also be relevant. See Practice Notes: Did the claimant consent to the risk of injury? and Was the claimant involved in an illegal activity?If a

Glossary—Latin legal terms

Glossary—Latin legal termsDespite attempts in recent years to simplify the language used in legal cases, there are still a number of Latin phrases commonly used in personal injury claims. The following Latin phrases are listed in alphabetical order:Latin

Template for regulatory references given by SMCR firms and disclosure requirements

Template for regulatory references given by SMCR firms and disclosure requirements[Insert addressee details]Dear [insert name][It is our understanding that [insert name of prospective employee] [was an employee of yours between the dates of [insert dates as appropriate] OR is a current employee of