Banking regulation essentials

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Latest Financial Services News

ABN Amro to pay €480m to settle Dutch AML penalty

The following Corporate Crime news provides comprehensive and up to date legal information on ABN Amro to pay €480m to settle Dutch AML penalty

Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

The following Dispute Resolution news provides comprehensive and up to date legal information on Claims arising from a fraudulent investment scheme resulting in corporate insolvency (Biscoe (as joint liquidators of Equitable Law Capital Ltd) v Milner)

HSBC beats £118m Stanford bank Ponzi scheme claim

The following Financial Services news provides comprehensive and up to date legal information on HSBC beats £118m Stanford bank Ponzi scheme claim

Financial sanctions guidance shows subtle policy shift

The following Corporate Crime news provides comprehensive and up to date legal information on Financial sanctions guidance shows subtle policy shift

Featured Financial Services content

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...

The Single Rulebook

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

Non-UCITS retail schemes (NURS)

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...

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...

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

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

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

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

Fair and Effective Markets Review (FEMR)—one minute guide

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...

9th Nov

Practice notes

Recognised investment exchanges

Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...

9th Nov

In-house

Practice notes

MLD4—key provisions for financial services firms—one minute guide

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

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

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

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

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...

9th Nov

In-house

Practice notes

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...

9th Nov

Practice notes

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...

9th Nov

Brexit

Practice notes

MiFID I—Transaction reporting

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

9th Nov

Practice notes

Impact of Brexit: Solvency II—quick guide

This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...

9th Nov

Brexit

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 whether or not a credit agreement is regulated under the regulatory...

9th Nov

Most recent Banking regulation essentials content

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...

11th Apr

Practice notes

Banking regulation—Greece—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Greece published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Germany—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Germany published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—United Kingdom—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in United Kingdom published as part of the Lexology Getting the...

8th Apr

Practice notes

Banking regulation—Ireland—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Ireland published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Hungary—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Hungary published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Italy—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Italy published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Luxembourg—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Luxembourg published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Austria—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Austria published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Banking regulation—Sweden—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sweden published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

The regulated activity of issuing electronic money

DefinitionIssuing electronic money is a regulated activity under regulation 9B of the Financial Services and Markets Act 2000 (Regulated Activities)...

30th Mar

Practice notes

The EU banking package—CRD V, CRR II, BRRD II and SRMR II

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...

30th Mar

Practice notes

Banking regulation—India—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in India published as part of the Lexology Getting the Deal...

1st Mar

Practice notes

Banking regulation—South Africa—Q&A guide

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...

1st Mar

Practice notes

Banking regulation—Lebanon—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Lebanon published as part of the Lexology Getting the Deal...

1st Mar

Practice notes

Banking regulation—Singapore—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Singapore published as part of the Lexology Getting the Deal...

1st Mar

Practice notes