International—financial services and related sectors

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Latest Financial Services News

Sec brought 75 crypto-related actions in 7.5 years

The following Banking & Finance news provides comprehensive and up to date legal information on Sec brought 75 crypto-related actions in 7.5 years

EU green bond, consumer credit, money laundering plans to be published in summer 2021

The following Banking & Finance news provides comprehensive and up to date legal information on EU green bond, consumer credit, money laundering plans to be published in summer 2021

Financial and trade sanctions—tracking UK-EU divergence

The following Banking & Finance news provides comprehensive and up to date legal information on Financial and trade sanctions—tracking UK-EU divergence

1MDB sues Deutsche Bank and others for $US 23bn over scandal

The following Dispute Resolution news provides comprehensive and up to date legal information on 1MDB sues Deutsche Bank and others for $US 23bn over scandal

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...

MiFID I—Transaction reporting

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

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...

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

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

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

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

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

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

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

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—financial services and related sectors content

Practice notes

Getting the Deal Through: Cybersecurity 2020

Getting the Deal Through: Cybersecurity 2020Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Austria; China;...

12th May

Practice notes

Getting the Deal Through: Data Protection & Privacy 2021

Getting the Deal Through: Data Protection & Privacy 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...

12th May

Practice notes

Getting the Deal Through: Arbitration 2021

Getting the Deal Through: Arbitration 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Austria; Belgium; Brazil;...

12th May

Practice notes

Getting the Deal Through: Cryptoassets & Blockchain 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Austria; India; Japan; Liechtenstein; Mexico; Singapore; South...

11th May

Practice notes

Getting the Deal Through: Fintech 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Belgium; Brazil; China; Denmark; Egypt; Germany; Gibraltar;...

11th May

Practice notes

Getting the Deal Through: Financial Services Litigation 2020

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; China; Greece; South Africa; South Korea; Switzerland;...

29th Apr

Practice notes

Getting the Deal Through: Debt Capital Markets 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Germany; Greece; Ireland; Japan; Luxembourg; Malta; Netherlands; Spain;...

28th Apr

Practice notes

Getting the Deal Through: Anti-Corruption Regulation 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Canada; China; France; Germany; Greece; Hong Kong; India;...

28th Apr

Practice notes

EU collection—Financial Services

This page collects together Financial Services content that addresses matters of EU law.For information on EU law generally, see EU structure, EU...

15th Apr

Practice notes

Getting the Deal Through: Islamic Finance & Markets 2021

Jurisdictions coveredThe following jurisdictions are covered in this report:France; Japan; Malaysia; Philippines; Switzerland; United Kingdom; USA;...

9th Apr

Practice notes

FATCA in the UK—the UK:US Intergovernmental Agreement: an outline

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

Produced in partnership with Ali Kazimi and Chris Orchard of Hansuke Consulting Limited 9th Apr

In-house

Practice notes

FATCA in the UK—funds and the UK:US IGA

This practice note provides a broad overview of the application of the Foreign Account Tax Compliance Act (FATCA) to fund structures in the UK.Where...

Produced in partnership with Andrew Prowse of Fieldfisher 9th Apr

In-house

Practice notes

US: Foreign Account Tax Compliance Act (FATCA)—summary

The Hiring Incentives to Restore Employment Act (the HIRE Act) include provisions that give the US Internal Revenue Service (the IRS) administrative...

Produced in partnership with John Narducci (Partner) and Stephen C Lessard (Associate) of Orrick, Herrington & Sutcliffe LLP 9th Apr

Practice notes

Tax—FATCA tracker

This tax 'tracker' tool displays the current status of both US FATCA and UK FATCA intergovernmental agreements (IGA).The tracker is split into five...

9th Apr

Practice notes

The Foreign Corrupt Practices Act—background (US)

As businesses eagerly expand into new markets looking for new growth opportunities, they must be careful, as with new growth comes new challenges....

Produced in partnership with Stephen R. Martin of Arnold & Porter LLP 9th Apr

Practice notes

A practical guide to FCPA investigations (US)

The US Foreign Corrupt Practices Act of 1977 (FCPA) is part of US federal law, which prohibits corrupt payments to or for foreign public officials. It...

Produced in partnership with Ropes & Gray 9th Apr

Practice notes

FCPA—who it applies to and what it prohibits (US)

What is the FCPA and what does it prohibit?The Foreign and Corrupt Practices Act (FCPA) was enacted in 1977 and amended after complaints from industry...

9th Apr

Practice notes

Getting the Deal Through: Fund Management 2020

Jurisdictions coveredThe following jurisdictions are covered in this report:Cayman Islands; France; Germany; Greece; Hong Kong; Ireland; Japan;...

9th Apr

Practice notes

Getting the Deal Through: Financial Services Compliance 2020

Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; Canada; Hong Kong; Japan; Netherlands; Portugal; Spain;...

9th Apr

Practice notes