International—financial services and related sectors

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Supreme Court gives landmark judgment in coronavirus (COVID-19) business interruption test case (Financial Conduct Authority v Arch Insurance)

The following Commercial news provides comprehensive and up to date legal information on Supreme Court gives landmark judgment in coronavirus (COVID-19) business interruption test case (Financial Conduct Authority v Arch Insurance)

FCA business interruption test case—quantum considerations

The following Financial Services news provides comprehensive and up to date legal information on FCA business interruption test case—quantum considerations

FinCEN fines Capital One $US 390m over AML violations

The following Corporate Crime news provides comprehensive and up to date legal information on FinCEN fines Capital One $US 390m over AML violations

Financial Services weekly highlights—21 May 2020

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—21 May 2020

Featured Financial Services content

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...

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...

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

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...

Practice notes

Regulatory capital—purpose, quantity and quality

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 Morrison & Foerster LLP 12th Jan

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

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

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

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

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

Fair and Effective Markets Review (FEMR)—one minute guide

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...

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

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

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

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

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

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...

9th Nov

Practice notes

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...

9th Nov

Brexit

Practice notes

MiFID I—Transaction reporting

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

9th Nov

Practice notes

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...

9th Nov

Most recent International—financial services and related sectors content

Practice notes

International Financial Markets Guide—Brazil

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...

Produced in partnership with Walter Stuber Consultoria Juridica 17th Jan

Practice notes

International Financial Markets Guide—Ireland

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...

Produced in partnership with A&L Goodbody 17th Jan

Practice notes

International Financial Markets Guide—British Virgin Islands

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...

Produced in partnership with Harney, Westwood & Riegels 17th Jan

Practice notes

International Financial Markets Guide—Colombia

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...

Produced in partnership with Philippi, Prietocarrizosa & Uría 17th Jan

Practice notes

International Financial Markets Guide—India

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...

Produced in partnership with Khaitan & Co., Advocates & Solicitors 17th Jan

Practice notes

USA—financial services regulation essentials

Introduction to US financial services regulationThe financial services industry in the US is heavily regulated by a myriad of different regulators at...

17th Jan

Practice notes

International Financial Markets Guide—China

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...

Produced in partnership with King & Wood 17th Jan

Practice notes

International Financial Markets Guide—Greece

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...

Produced in partnership with Souriadakis Tsibris 17th Jan

Practice notes

International Financial Markets Guide—Guernsey

Introductory NoteGuernsey includes the islands of Guernsey, Herm and Jethou. The Bailiwick of Guernsey ('Bailiwick') includes these islands together...

Produced in partnership with Ogier 17th Jan

Practice notes

Dodd-Frank Act—overview for non-US lawyers—essentials

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Dwight Smith of Covington & Burling LLP 17th Jan

Practice notes

Cybersecurity regulation and best practice in the US and UK

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 17th Jan

Practice notes

International Financial Markets Guide—Denmark

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...

Produced in partnership with Gorrissen Federspiel 17th Jan

Practice notes

International Financial Markets Guide—Isle of Man

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...

17th Jan

Practice notes

International Financial Markets Guide—Thailand

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...

Produced in partnership with Kudun and Partners 17th Jan

Practice notes

International Financial Markets Guide—Australia

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...

Produced in partnership with Andrea Beatty and Chelsea Payne of Piper Alderman 17th Jan

Practice notes

International Financial Markets Guide—Switzerland

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...

Produced in partnership with Eva Stormann, Avocat 17th Jan

Practice notes

International Financial Markets Guide—Russia

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...

Produced in partnership with Timothy Stubbs, Zaur Gidalishov and Olga Fedina of Dentons LLP 17th Jan

Practice notes

International Financial Markets Guide—Indonesia

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...

17th Jan

Practice notes

International financial markets guide—Taiwan

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...

Produced in partnership with Lee and Li, Attorneys-at-Law 17th Jan

Practice notes

International financial markets guide—Macau

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...

Produced in partnership with RLLC 17th Jan