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The Bank of England (BoE) and HM Treasury (HMT) have published a joint progress update on the exploration of a digital pound. Although no decision has...
The European Securities and Markets Authority (ESMA) has published the advice it has received from the Securities and Markets Stakeholder Group (SMSG)...
Law360, London: The effectiveness of Britain's sanctions regime should not be judged solely by court victories, according to a top UK law enforcement...
HM Treasury (HMT) has published a policy paper following the 2025 UK-China Economic and Financial Dialogue (EFD) in Beijing. This includes a...
The Bank of England (BoE) has published a design note on the blueprint framework for a potential digital pound. The design note identifies key...
ISDA—latest news on documentationThis Practice Note contains a summary of new and updated documents published by the International Swaps and...
Brexit—implications for data protection [Archived]ARCHIVED: This archived Practice Note provides information on the Data Protection, Privacy and...
Data protection principlesThis Practice Note covers the principles for handling personal data that form the core of the United Kingdom General Data...
Introduction to the EU GDPR and UK GDPRThis Practice Note provides an introduction to both the EU’s General Data Protection Regulation, Regulation...
Tax—FATCA trackerThis tax 'tracker' tool displays the current status of both US FATCA and UK FATCA intergovernmental agreements (IGA).The tracker is...
Environmental Targets for a Limited Partnership Agreement (Stella & Flora’s Clause) (The Chancery Lane Project)Additional/Amended Recital:[Name of...
Retained EU law—training materials [Archived]ARCHIVED: This Precedent has been archived and is not maintained.These training materials consist of...
Model discretionary investment management agreementThe model discretionary investment management agreement can be found on the Investment...
Specimen Dealing CodeThis Precedent is a memorandum that sets out the details of the ‘specimen’ dealing code. The specimen dealing code is the product...
Specimen Group-Wide Dealing PolicyThis precedent memorandum sets out a ‘specimen’ group-wide dealing policy published by The Chartered Governance...
The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
Accepting depositsBackground to the regulated activity of accepting depositsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Fund management—Cayman Islands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Cayman Islands published...
Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, new rules on NURS...
Complying with the collective investment schemes sourcebook (COLL)The Financial Conduct Authority’s Collective Investment Schemes Sourcebook (COLL) is...
Different types of short sellingShort selling: the two key typesRegulation (EU) 236/2012 (OJ L 86/1) (the EU Short Selling Regulation) came into force...
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Regulated activities relating to dormant assetsBackground to regulated activities relating to handling dormant assetsUnder section 19 of the Financial...
UK regulation of payment services providers—essentialsScope of this Practice NoteThe Payment Services Regulations 2017, SI 2017/752 (PSRs 2017)...
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
The Financial Services & Markets Act 2000 (Non-Exempt Activities) Order 2001 is secondary legislation which contains a list of the activities to which the exemption to the general prohibition does not apply.
The ability of firms and the financial system as a whole to absorb and adapt to shocks, rather than contribute to them.
The collective term for the Listing Rules, Prospectus Rules, Transparency Rules and corporate governance rules which refers to the Part of the Financial Services and Markets Act 2000 under which they were made.