International—financial services and related sectors

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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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16th Oct
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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15th Oct
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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5th Oct
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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Produced in partnership with Morrison & Foerster LLP 5th Oct
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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5th Oct
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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5th Oct
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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27th Sep
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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26th Sep
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 >
26th Sep
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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26th Sep
Practice notes
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...
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26th Sep
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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26th Sep
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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26th Sep
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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25th Sep
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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25th Sep
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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25th Sep

Most recent International—financial services and related sectors content

Practice notes
Background to the Foreign Corrupt Practices ActThe US Foreign Corrupt Practices Act (FCPA) is a broad and very well-enforced piece of legislation that...
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25th Sep
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; China; South Africa; South Korea; Switzerland; United...
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25th Sep
Practice notes
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...
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25th Sep
Practice notes
The restriction on insider tradingWhat is insider trading?Insider trading is usually associated with illegal conduct. However, the term actually...
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25th Sep
Practice notes
Background to the Volcker Rule and implementationThe rules which came about from the so-called Volcker Rule provisions of the Dodd-Frank Wall Street...
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25th Sep
Practice notes
The Hiring Incentives to Restore Employment Act (the HIRE Act) include provisions that give the US Internal Revenue Service (the IRS) administrative...
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25th Sep
Practice notes
Introduction to US financial services regulationThe financial services industry in the US is heavily regulated by a myriad of different regulators at...
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25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
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25th Sep
Practice notes
Title IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) brings many hedge funds and private equity funds under federal...
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25th Sep
Practice notes
SEC Enforcement Cooperation ProgramIn January 2010, the US Securities and Exchange Commission (SEC) announced a series of measures aimed at...
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25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
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25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
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25th Sep
Practice notes
General1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to...
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25th Sep
Practice notes
This Practice Note is intended to give non-US legal practitioners a degree of familiarity with the Dodd-Frank Wall Street Reform and Consumer...
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25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
Read More >
25th Sep
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Austria; Belgium; Brazil; Canada; Chile; China; Colombia;...
Read More >
25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
Read More >
25th Sep
Practice notes
Background and purposes of the Securities Exchange ActThe Securities Exchange Act of 1934 (the Exchange Act or the 34 Act) was enacted on June 6,...
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25th Sep
Practice notes
State securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an independent government agency charged with...
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25th Sep
Practice notes
1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person outside an organisation in relation to sales...
Read More >
25th Sep

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