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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
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
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...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
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
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
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
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
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
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
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
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
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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Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes
Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
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Produced in partnership with DLA Piper 12th Jan
Practice notes
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...
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9th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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9th Nov

Most recent Banks and mutuals content

Practice notes
Santander Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank...
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13th May
Practice notes
Barclays Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank...
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13th May
Practice notes
Impact of Brexit: BRRD—quick guideThis Brexit Bank Recovery and Resolution Directive 2014/59/EU quick guide details UK legislation and retained EU...
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13th May
Practice notes
Dormant accountsDormant Bank and Building Society Accounts Act 2008 The management of dormant account funds and the meeting of repayment claims by a...
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13th May
Practice notes
CRD IV—essentialsThis Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV...
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12th May
Practice notes
This Practice Note discusses the key provisions of the Deposit Guarantee Schemes Directive 2014/49/EU (EU DGSD), which requires Member States to...
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9th May
Practice notes
A package of legislation intended to reduce risks in the EU banking sector, known as the ‘banking package’, was published in the Official Journal of...
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4th May
Practice notes
This Practice Note discusses both (1) the EU remuneration provisions under the Capital Requirements Directive 2013/36/EU (EU CRD IV) and Regulation...
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29th 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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29th Apr
Practice notes
This Practice Note summarises the new targeted banking package of measures proposed by the European Commission in April 2020 to address the impact of...
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28th 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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28th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sri Lanka published as part of the Lexology Getting the Deal...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Singapore published as part of the Lexology Getting the Deal...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sweden published as part of the Lexology Getting the Deal...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in United Kingdom published as part of the Lexology Getting the...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in South Africa published as part of the Lexology Getting the Deal...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in USA published as part of the Lexology Getting the Deal Through...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in United Arab Emirates published as part of the Lexology Getting...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Andorra published as part of the Lexology Getting the Deal...
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27th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Germany published as part of the Lexology Getting the Deal...
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27th Apr

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