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.

Read moreread title

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
Read More >
19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
Read More >
Produced in partnership with John Ahern 19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
Read More >
19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Macfarlanes 19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
Read More >
19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
Read More >
Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
Read More >
19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
Read More >
19th May
Practice notes
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
Read More >
19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
Read More >
19th May
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
Read More >
19th May
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May

Most recent Financial Services content

Practice notes
Payment Systems Regulator—duties and powersGeneral dutiesThe Payment Systems Regulator (PSR) has a number of statutory duties and powers under the...
Read More >
Produced in partnership with Sidley Austin 28th Jul
Practice notes
Money Laundering Regulations 2017—group level policies, controls and proceduresThe Money Laundering, Terrorist Financing and Transfer of Funds...
Read More >
28th Jul
Practice notes
Unauthorised business and enforcement powers of the FCAOverviewThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from...
Read More >
Produced in partnership with Brown Rudnick 28th Jul
Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
Read More >
28th Jul
Practice notes
Regulation of CCPsCORONAVIRUS (COVID-19): This Practice Note contains information on subjects potentially impacted by the government and regulators'...
Read More >
28th Jul
Practice notes
Introduction to the EU AML/CTF legal and regulatory framework for financial servicesOverview of the European AML/CTF regulatory regimeThe EU’s...
Read More >
28th Jul
Practice notes
CRD IV/CRR remuneration requirements in the UKThis Practice Note discusses the UK rules on remuneration, including those that transposed the EU...
Read More >
28th Jul
Practice notes
Benchmarks Regulation—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
Read More >
28th Jul
Practice notes
Outsourcing and data protectionIn briefData protection laws in both the EEA (the EU plus Iceland, Norway, and Liechtenstein) and UK seek to ensure...
Read More >
Produced in partnership with Marina Paul 28th Jul
Practice notes
ISDA—latest news on documentationThis Practice Note contains a summary of new and updated documents published by the International Swaps and...
Read More >
28th Jul
Practice notes
LIBOR transitionThis Practice Note provides:•information on the background to the transition away from London Interbank Offered Rate (LIBOR) and other...
Read More >
28th Jul
Practice notes
Financial Services News and News Analysis—Brexit toolkitFinancial Services Brexit News and News AnalysisDateNews/News AnalysisDescription27 July 2021A...
Read More >
28th Jul
Practice notes
Collateralised debt obligationsWhat is a CDO?Core conceptsCollateralised debt obligations (CDO) are complex, high-value transactions involving...
Read More >
28th Jul
Practice notes
Regulation of credit default swaps—the Short Selling RegulationWhat is a credit default swap?A credit default swap (CDS) is a form of credit...
Read More >
28th Jul
Practice notes
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...
Read More >
28th Jul
Practice notes
An introduction to short sellingShort selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which...
Read More >
28th Jul
Practice notes
Getting the Deal Through: Enforcement of Foreign Judgments 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Austria;...
Read More >
28th Jul
Q&As
Are UK courts and tribunals bound by decisions of the Court of Justice of the European Union post-Brexit?As of exit day (11pm on 31 January 2020) the...
Read More >
28th Jul
Practice notes
Introduction to retained EU lawThis Practice Note provides an introduction to retained EU law. It provides an overview of the key definitions and...
Read More >
Produced in partnership with Dr. Kieran Laird of Gowling WLG 28th Jul
Practice notes
Insurance business transfer schemesConsistent with the common law of contract, an insurer is not able to transfer the burden of its obligations under...
Read More >
Produced in partnership with Geraldine Quirk of Bryan Cave Leighton Paisner 28th Jul

Popular documents