Investment funds and asset management

View Financial Services by content type:

News

Practice notes

Precedents

Q&As

Latest Financial Services News

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

The following Financial Services news provides comprehensive and up to date legal information on Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

UK antitrust watchdog clears IHS Markit, CME joint venture

The following Financial Services news provides comprehensive and up to date legal information on UK antitrust watchdog clears IHS Markit, CME joint venture

The road to COP26—exploring the role of private finance

The following Banking & Finance news provides comprehensive and up to date legal information on The road to COP26—exploring the role of private finance

Featured Financial Services content

Promotion of unregulated collective investment schemes (UCIS)

Promotion of unregulated collective investment schemes (UCIS)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

The Money Laundering Reporting Officer (MLRO)

The Money Laundering Reporting Officer (MLRO)OverviewThe requirements to have robust systems and controls in a regulated firm to prevent money...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Introduction to the FCA COBS 4 rules

Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Practice notes

What is credit and what is a regulated consumer credit agreement?

What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...

19th May

Q&As

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the cardholder and others?

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the...

19th May

Practice notes

Application of the FCA's COBS 4 rules

Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

19th May

Practice notes

SM&CR—FCA and PRA Fitness and Propriety requirements

SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...

Produced in partnership with John Drabble of Kemp Little LLP 19th May

Practice notes

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirements

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...

19th May

Practice notes

OEIC and ICVC authorisation and winding-up

OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Macfarlanes 19th May

Practice notes

FCA—training and competence

FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

19th May

Practice notes

EMIR REFIT and EMIR 2.2 roadmap

EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...

19th May

Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

19th May

Practice notes

SM&CR—Statements of Responsibility (SoRs)

SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...

19th May

Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Practice notes

Public censure by the FCA

Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...

19th May

Practice notes

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

19th May

In-house

Q&As

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on land or property? Prior to the implementation of the mortgage credit directive, were CCA 1974 regulated second charge mortgages over land/property subject to CONC?

Does the financial conduct authority's consumer credit sourcebook (CONC) apply to the Consumer Credit Act 1974 (CCA 1974) regulated loans secured on...

Produced in partnership with Thomas Samuels of Gough Square Chambers 19th May

Practice notes

Appointed representatives

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

19th May

Practice notes

Regulatory capital—purpose, quantity and quality

Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Morrison & Foerster 19th May

Most recent Investment funds and asset management content

Practice notes

Private equity (transactions)—United Kingdom—Q&A guide

Private equity (transactions)—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions)...

26th Jul

Practice notes

Private equity (transactions)—USA—Q&A guide

Private equity (transactions)—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in USA...

26th Jul

Practice notes

Private equity (transactions)—Thailand—Q&A guide

Private equity (transactions)—Thailand—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...

26th Jul

Practice notes

Private equity (transactions)—United Arab Emirates—Q&A guide

Private equity (transactions)—United Arab Emirates—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity...

26th Jul

Practice notes

Private equity (transactions)—Nigeria—Q&A guide

Private equity (transactions)—Nigeria—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...

26th Jul

Practice notes

Private equity (transactions)—France—Q&A guide

Private equity (transactions)—France—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in France...

26th Jul

Practice notes

Private equity (transactions)—Mexico—Q&A guide

Private equity (transactions)—Mexico—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in Mexico...

26th Jul

Practice notes

Private equity (transactions)—Switzerland—Q&A guide

Private equity (transactions)—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...

26th Jul

Practice notes

Private equity (transactions)—India—Q&A guide

Private equity (transactions)—India—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in India...

26th Jul

Practice notes

Private equity (transactions)—Germany—Q&A guide

Private equity (transactions)—Germany—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...

26th Jul

Practice notes

Private equity (transactions)—Egypt—Q&A guide

Private equity (transactions)—Egypt—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in Egypt...

26th Jul

Practice notes

Private equity (transactions)—British Virgin Islands—Q&A guide

Private equity (transactions)—British Virgin Islands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity...

26th Jul

Practice notes

Private equity (transactions)—Australia—Q&A guide

Private equity (transactions)—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...

26th Jul

Practice notes

The FCA’s Asset Management Market Study

The FCA’s Asset Management Market StudyBackground to the studyThe FCA published the terms of reference for its Asset Management Market Study (AMMS) on...

26th Jul

Practice notes

Private equity (transactions)—Spain—Q&A guide

Private equity (transactions)—Spain—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in Spain...

26th Jul

Practice notes

Private equity (transactions)—Japan—Q&A guide

Private equity (transactions)—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in Japan...

26th Jul

Practice notes