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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: 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
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
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...
Read More >
Produced in partnership with Morrison & Foerster 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...
Read More >
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
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
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 Fintech content

Practice notes
Regulation of distributed ledger technology applications for financial servicesBREXIT: The UK is leaving EU on Exit Day (as defined in the European...
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15th May
Practice notes
Open bankingThis Practice Note explains open banking and relevant legal and commercial issues. It covers:•Background•The open banking standard•Third...
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Produced in partnership with Sam Robinson, Duncan Turner and Jon Monks of CMS 15th May
Practice notes
RegtechThis Practice Note considers the following aspects of the technology that has become known as ‘regtech’:•What is regtech?•The FCA’s...
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Produced in partnership with Sam Robinson and Yasmin Johal of CMS 15th May
Practice notes
Automated advice models (including ‘robo-advice’) in financial servicesAutomated financial product advisers or robo-advisers are automated computer...
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Produced in partnership with Kushal Gandhi and Charles Kerrigan of CMS 15th May
Practice notes
The regulation of crowdfunding platforms—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Fintech and intellectual propertyThis Practice Note considers IP issues specifically in relation to fintech. It covers:•Fintech and intangible...
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Produced in partnership with Rachel Free of CMS 15th May
Practice notes
Contracting with fintechsThis Practice Note is aimed primarily at established financial institutions and early stage fintechs wanting to partner in...
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15th May
Practice notes
UK and EU regulation of financial innovations and fintechThe UK fintech sectorThis Practice Note provides an overview of the most prevalent financial...
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15th May
Practice notes
Fintech and the debt capital marketsInnovation and new technologies have had an impact on most industries over the past decade. The evolution of...
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15th May
Practice notes
Blockchain has erupted into mainstream consciousness with multiple consultations and discussions by regulators underway or completed around the world....
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Produced in partnership with John Salmon of Hogan Lovells 11th May
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Belgium; Brazil; China; Denmark; Egypt; Germany; Gibraltar;...
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11th May
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in United Kingdom published as part of the Lexology Getting the Deal Through...
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6th May
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Germany published as part of the Lexology Getting the Deal Through series...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in South Africa published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in India published as part of the Lexology Getting the Deal Through series by...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Singapore published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Denmark published as part of the Lexology Getting the Deal Through series...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Japan published as part of the Lexology Getting the Deal Through series by...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Australia published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to fintech in Belgium published as part of the Lexology Getting the Deal Through series...
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9th Apr

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