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Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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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
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 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
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
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
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
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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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
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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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
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
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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9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Dispute resolution for financial services lawyers content

Practice notes
Fraud—what is it?Fraud can best be described as the deliberate or intentional use of misrepresentation, deception or dishonesty to deprive, in order...
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3rd Feb
Practice notes
This Practice Note considers legal professional privilege (LPP), which is made up of legal advice privilege and litigation privilege. It considers the...
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3rd Feb
Practice notes
This Practice Note looks at loss of privilege in civil litigation in the context of legal professional privilege (LPP) and in particular considers the...
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3rd Feb
Practice notes
This Practice Note considers the concepts of joint privilege (being joint retainer or joint interest privilege) and common interest privilege,...
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3rd Feb
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Austria; Bahamas; Bermuda; Brazil; Cyprus; Denmark; Greece; Hong Kong;...
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21st Jan
Practice notes
This Practice Note sets out certain key cases and associated analysis relevant to derivatives practitioners. The cases are divided by topic area and...
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17th Jan
Q&As
Ownership of privilegeLegal professional privilege 'belongs' to the client and not to the legal adviser (Three Rivers District Council v Governor and...
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Produced in partnership with Jonathan Edwards of Radcliffe Chambers and Daniel Gill of Clarke Willmott 8th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; China; South Africa; South Korea; Switzerland; United...
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7th Dec
Practice notes
When dealing with litigation in various different jurisdictions, the Getting The Deal Through Guide (GTDT) titled: legal privilege and professional...
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3rd Dec
Practice notes
Prior to 1984 there was no concept of forum non conveniens in English law; although there was in Scottish law. There were moves towards the use of...
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3rd Dec

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