Financial Services Law

It’s the known unknowns and the unknown unknowns that make Financial Services such a fascinating and challenging area of law. Advising clients in the here and now, or helping them plan ahead, how are you sure you haven’t missed something?

LexisPSL Financial Services helps you find the authoritative answer fast, even if you’re in unfamiliar territory.

Clear, concise practice notes, checklists, timelines, precedents and charts give you just what you need to know – with links to sources like the FSA Handbook, the Journal of International Banking & Financial Law, and Butterworths Financial Regulation Service, as well as legislation and key websites for the fuller picture. And, importantly, news alerts and analysis to help you stay that step ahead.

Whatever’s on the horizon, you can get up-to-speed in a matter of minutes.

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Latest Financial Services News

Featured Financial Services content

Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
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...
Read More >
9th Nov
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
Practice notes
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...
Read More >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov

Most recent Financial Services content

Practice notes
This Practice Note discusses the impact of Brexit on the general processing of personal data under the General Data Protection Regulation, Regulation...
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16th Apr
Practice notes
Terms of Reference for the Wholesale Insurance Market StudyThe Financial Conduct Authority (FCA) launched a market study (MS 17/2) into the wholesale...
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Produced in partnership with Marcus Bonnell, Counsel and Dil-veer Kang, Trainee Solicitor of RPC 16th Apr
Practice notes
This Practice Note contains a summary of new and updated documents published by the International Swaps and Derivatives Association (ISDA). It is...
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16th Apr
Practice notes
In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as applicable, and significant...
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16th Apr
Practice notes
This Practice Note contains a summary of new and updated documents published by the International Capital Markets Association (ICMA). It is updated...
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16th Apr
Q&As
Prior to the implementation of Solvency II, the Prudential Regulation Authority's (PRA) rules and guidance were contained in:•PRA SYSC 14 (Risk...
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16th Apr
Q&As
Generally, in claims allocated to the small claims track, the parties bear their own costs. This is provided for in CPR 27.14.CPR 27.14 states that in...
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Produced in partnership with Alexander Campbell of Field Court Chambers 16th Apr
Practice notes
The number of claims against banks continues apace. This Practice Note focuses on specific issues arising in respect of the tortious duty of care owed...
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16th Apr
Practice notes
Coronavirus (COVID-19): For further information on the joint statements issued by the Financial Conduct Authority (FCA) and the Prudential Regulation...
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Produced in partnership with Gillian Maclellan, Partner of CMS 16th Apr
Practice notes
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...
Read More >
16th Apr
Practice notes
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...
Read More >
16th Apr
Practice notes
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...
Read More >
16th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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16th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
16th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
16th Apr
Practice notes
Financial Services Brexit News and News AnalysisDateNews/News AnalysisDescription15 April 2021Brexit Bulletin—European Parliamentary Committees vote...
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16th Apr
Practice notes
This Practice Note explains the without prejudice rule (WP rule) which affects the admissibility of evidence relating to genuine settlement...
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16th Apr
Practice notes
This Practice Note aims to provide an understanding of what is meant by the term ‘jurisdiction’ when dealing with cross-border litigation. It explains...
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16th Apr
Practice notes
The Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed information on, all substantive Financial Conduct Authority...
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16th Apr

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