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EU courts told to let Iranian companies use sanction blocking law

The following Corporate Crime news provides comprehensive and up to date legal information on EU courts told to let Iranian companies use sanction blocking law

FCA looks to challenge Amigo Loans’ restructuring plan

The following Banking & Finance news provides comprehensive and up to date legal information on FCA looks to challenge Amigo Loans’ restructuring plan

FCA to review regulatory extension scheme after Greensill

The following Financial Services news provides comprehensive and up to date legal information on FCA to review regulatory extension scheme after Greensill

Financial Services weekly highlights—13 May 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—13 May 2021

Featured Financial Services content

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...

Second Wire Transfer Regulation (WTR2)—essentials

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...

Debt sale and purchase agreements

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...

Practice notes

Authorised unit trust authorisation and winding-up

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...

9th Nov

Practice notes

Entering into a consumer hire agreement as owner

BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...

9th Nov

Practice notes

European Venture Capital Funds (EuVECA) Regulation

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...

9th Nov

Practice notes

UCITS VI

UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...

Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...

9th Nov

Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...

9th Nov

Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...

9th Nov

Practice notes

Basel Accord

The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...

Produced in partnership with Morrison & Foerster LLP 12th Jan

Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...

9th Nov

Practice notes

Application of the FCA's COBS 4 rules

Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...

9th Nov

Practice notes

Public censure by the FCA

Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...

9th Nov

Practice notes

Regulatory capital—purpose, quantity and quality

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...

Produced in partnership with Morrison & Foerster LLP 12th Jan

Practice notes

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Produced in partnership with DLA Piper 12th Jan

Practice notes

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

9th Nov

Practice notes

What is electronic money?

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

9th Nov

Practice notes

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

9th Nov

In-house

Most recent Obtaining authorisation and fees content

Practice notes

Payment Services Regulations 2017—authorisation and passporting rights

Payment Services Regulations 2017—authorisation and passporting rightsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...

13th May

Practice notes

Threshold conditions under FSMA 2000

This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms authorised by the Financial Conduct...

26th Apr

Practice notes

Regulatory fees and levies

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

26th Apr

Practice notes

Top-up permission

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

26th Apr

Practice notes

Financial Conduct Authority—authorisation

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

26th Apr

Practice notes

AIFMD—the marketing of AIFs, passporting and third country provisions

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

8th Apr

Practice notes

Prudential Regulation Authority—preparing for authorisation

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

29th Mar

Practice notes

Exercising passport rights in the EEA under the Single Market Directives

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Sophie van Wingarden, Senior Associate and Chris Boylan, Associate of Kemp Little LLP 26th Mar

Practice notes

EU passporting and Treaty rights

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

26th Mar

Practice notes

Exercise of passporting rights—insurance undertakings in the EEA

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Oliver Lewis and Rachpal Thind of Sidley Austin 26th Mar

Practice notes

Applying for passporting

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Orrick, Herrington & Sutcliffe 26th Mar

Practice notes

Requirements for the exercise of passporting and Treaty rights in the UK

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

26th Mar

Practice notes

Prudential Regulation Authority—risk assessment

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

Prudential Regulation Authority—imposition and variation of requirements

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

Exercising passport rights under MiFID and MiFID II

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

Preparing a regulatory business plan—guidelines

Introduction to the FCA authorisation processPreparing an application for Financial Conduct Authority (FCA) authorisation is a challenging task. Many...

Produced in partnership with Ben Mason of Compliancy Services 1st Mar

Practice notes

Implementation of the Acquisitions Directive

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

Financial Conduct Authority—cancelling permission and requirements

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

Prudential Regulation Authority—varying permission

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

EEA passporting rights under the Mortgage Credit Directive

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Rachpal Thind, Partner and Rachel O’Brien, Associate of Sidley Austin LLP 1st Mar

Obtaining authorisation and fees

View Financial Services by content type:

Latest Financial Services News

EU courts told to let Iranian companies use sanction blocking law

FCA looks to challenge Amigo Loans’ restructuring plan

FCA to review regulatory extension scheme after Greensill

Financial Services weekly highlights—13 May 2021

Featured Financial Services content

MiFID I—Transaction reporting

The impact of Brexit on the MiFID II regime

Second Wire Transfer Regulation (WTR2)—essentials

Debt sale and purchase agreements

Most recent Obtaining authorisation and fees content

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