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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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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...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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...
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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...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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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...
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19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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...
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19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Dispute resolution for financial services lawyers content

Q&As
If a client would like to voluntarily waive privilege in an investigation, what are the risks and how can they be mitigated?Ownership of...
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Produced in partnership with Jonathan Edwards of Radcliffe Chambers and Daniel Gill of Clarke Willmott 17th Sep
Practice notes
Legal professional privilege in civil proceedingsThis Practice Note considers legal professional privilege (LPP), which is made up of legal advice...
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17th Sep
Practice notes
Civil fraud—frequently asked questions (FAQ)Fraud—what is it?Fraud can best be described as the deliberate or intentional use of misrepresentation,...
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16th Sep
Practice notes
Negligence—banks and the duty of careThe number of claims against banks continues apace. This Practice Note focuses on specific issues arising in...
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14th Sep
Practice notes
The Financial List—starting and transferring claimsWhat is the Financial List?The Financial List is a specialist list in the High Court which came...
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13th Sep
Practice notes
Public access to court documents and information in civil proceedingsThis Practice Note provides guidance on when the public may access documents on...
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9th Sep
Practice notes
Privilege—loss or waiver of privilegeThis Practice Note looks at loss of privilege in civil litigation in the context of legal professional privilege...
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9th Sep
Practice notes
Privilege—joint and common interest privilegeThis Practice Note considers the concepts of joint privilege (being joint retainer or joint interest...
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9th Sep
Practice notes
Privilege rules around the worldWhen dealing with litigation in various different jurisdictions, the Getting The Deal Through Guide (GTDT) titled:...
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9th Sep
Practice notes
Privilege—general principlesThis Practice Note considers the general principles, meaning and rationale behind privilege. It identifies the different...
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9th Sep
Practice notes
Freezing injunctions—guiding principlesThis Practice Note introduces freezing injunctions, explaining what they are and the different types that can...
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1st Sep
Practice notes
Group Litigation Orders and multi-party actions in relation to financial services disputesThis Practice Note examines Group Litigation Orders (GLOs)...
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Produced in partnership with Chris Busby and Richard Bacon of Eversheds Sutherland (International) LLP 23rd Aug
Practice notes
Resolving derivatives disputes—key casesThis Practice Note sets out certain key cases and associated analysis relevant to derivatives practitioners....
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21st Aug
Practice notes
Dispute resolution and derivativesThe nature, main types and main uses of financial derivatives are summarised in Practice Notes: The nature of...
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21st Aug
Practice notes
Injunctions and restitution under FSMA 2000In addition to their formal investigatory and enforcement powers, the Financial Conduct Authority (FCA) and...
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20th Aug
Practice notes
Securities litigation—United Kingdom—England & Wales—Q&A guide [Archived, 2020 edition]This Practice Note contains a jurisdiction-specific Q&A guide...
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19th Aug
Practice notes
Securities litigation—India—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities litigation in India published as part...
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19th Aug
Practice notes
Complex commercial litigation—Gibraltar—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in...
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19th Aug
Practice notes
Understanding applicable law—a guide for dispute resolution practitionersThis Practice Note explains what is meant by applicable law, also known as...
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19th Aug
Practice notes
Understanding jurisdiction—a guide for dispute resolution practitionersThis Practice Note aims to provide an understanding of what is meant by the...
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19th Aug

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