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Latest Financial Services News

UK urged to introduce IPO-friendly listing rules to rival US

The following Financial Services news provides comprehensive and up to date legal information on UK urged to introduce IPO-friendly listing rules to rival US

Tech outsourcing risky for finance firms, insurer says

The following Financial Services news provides comprehensive and up to date legal information on Tech outsourcing risky for finance firms, insurer says

Financial Services weekly highlights—6 May 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—6 May 2021

UK joins US in implementing a global anti-corruption sanctions regime

The following Banking & Finance news provides comprehensive and up to date legal information on UK joins US in implementing a global anti-corruption sanctions regime

Featured Financial Services content

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...

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...

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...

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

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

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

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

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

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

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...

Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 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 International dispute resolution for financial services lawyers content

Practice notes

Insurance litigation—China—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to insurance litigation in China published as part of the Lexology Getting the Deal...

29th Apr

Practice notes

Securities litigation—Greece—Q&A guide

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

29th Apr

Practice notes

Securities litigation—Nigeria—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to securities litigation in Nigeria published as part of the Lexology Getting the Deal...

29th Apr

Practice notes

Insurance litigation—France—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to insurance litigation in France published as part of the Lexology Getting the Deal...

29th Apr

Practice notes

Complex commercial litigation—Portugal—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Portugal published as part of the Lexology Getting...

29th Apr

Practice notes

Securities litigation—USA—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to securities litigation in USA published as part of the Lexology Getting the Deal...

29th Apr

Practice notes

Insurance litigation—South Korea—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to insurance litigation in South Korea published as part of the Lexology Getting the...

29th Apr

Practice notes

Complex commercial litigation—USA—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in USA published as part of the Lexology Getting the...

29th Apr

Practice notes

Complex commercial litigation—Romania—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Romania published as part of the Lexology Getting...

29th Apr

Practice notes

Complex commercial litigation—Denmark—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Denmark published as part of the Lexology Getting...

29th Apr

Practice notes

Complex commercial litigation—Cyprus—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Cyprus published as part of the Lexology Getting the...

29th Apr

Practice notes

Securities litigation—India—Q&A guide

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

29th Apr

Practice notes

Insurance litigation—India—Q&A guide

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

29th Apr

Practice notes

Complex commercial litigation—Switzerland—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Switzerland published as part of the Lexology...

29th Apr

Practice notes

Complex commercial litigation—Mexico—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Mexico published as part of the Lexology Getting the...

29th Apr

Practice notes

Complex commercial litigation—Japan—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to complex commercial litigation in Japan published as part of the Lexology Getting the...

29th Apr

Practice notes

Securities litigation—Ireland—Q&A guide

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

29th Apr

Practice notes

Insurance litigation—Sweden—Q&A guide

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

29th Apr

Practice notes

Insurance litigation—Pakistan—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to insurance litigation in Pakistan published as part of the Lexology Getting the Deal...

29th Apr

Practice notes