USA financial services regulation

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Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
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Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
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Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
FCA inducements rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent USA financial services regulation content

Q&As
My client is a UK brokerage firm that wants to do business with US customers. Does it have to get authorisation from any US agencies and if so, how...
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31st Jul
Practice notes
USA—Understanding the registration and reporting requirements for foreign private issuersCertain foreign companies that issue securities, or desire a...
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Produced in partnership with Jonathan Guest of McCarter & English LLP 31st Jul
Practice notes
Dodd-Frank tracker—key legislation for Financial Services [Archived]STOP PRESS: The Financial Choice Act, which was passed in US House of...
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31st Jul
Practice notes
Understanding the impact of Dodd-Frank on financial derivativesBackground to the Dodd-Frank ActFollowing the financial crisis of the US capital...
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31st Jul
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USA—financial services regulation essentialsIntroduction to US financial services regulationThe financial services industry in the US is heavily...
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31st Jul
Practice notes
USA—Introduction to the Securities Exchange Act of 1934 and the Securities Act of 1933Background and purposes of the Securities Exchange ActThe...
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Produced in partnership with Tom O’Neill of Herbert Smith Freehills 31st Jul
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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31st Jul
Practice notes
Hedge funds and private equity funds under Dodd-FrankTitle IV of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank) brings...
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Produced in partnership with Dwight C. Smith of Covington & Burling LLP 31st Jul
Practice notes
USA—Regulatory framework for the offering of hedge fund securitiesA hedge fund seeking to attract US investors is subject to various federal...
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31st Jul
Practice notes
USA—The US regulatorsSecurities and Exchange Commission (SEC)What is the SEC?The SEC was created under the Securities and Exchange Act of 1934. This...
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31st Jul
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USA—Insider tradingThe restriction on insider tradingWhat is insider trading?Insider trading is usually associated with illegal conduct. However, the...
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31st Jul
Practice notes
General requirements of the Volcker Rule and its impact on non-US banking entitiesBackground to the Volcker Rule and implementationThe rules which...
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31st Jul
Practice notes
Dodd-Frank Act—overview for non-US lawyers—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Dwight C. Smith of Covington & Burling LLP 31st Jul
Practice notes
USA—Benefits of co-operating with the SECSEC Enforcement Cooperation ProgramIn January 2010, the US Securities and Exchange Commission (SEC) announced...
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31st Jul
Practice notes
USA—General regulation of investment advisersThe Investment Advisers Act of 1940 (Advisers Act) imposes a broad fiduciary duty on investment advisers...
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31st Jul
Practice notes
Cybersecurity regulation and best practice in the US and UKBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 31st Jul
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...
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30th Jul
Practice notes
US regulation of derivatives—one minute guideBREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation...
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30th Jul
Practice notes
The US Foreign Corrupt Practices Act and the UK Bribery Act 2010 comparedBackground to the Foreign Corrupt Practices ActThe US Foreign Corrupt...
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30th Jul

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