Investment funds and asset management

Gain clarity on structuring and managing investment funds with our expert guidance. From fund formation to regulatory compliance, we provide the tools and insights necessary to stay ahead in this fast-evolving landscape. This topic also offers strategic advice on asset management to ensure your clients’ portfolios align with current financial regulations and best practices.

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Collective investment schemes (CIS) Depositaries, custody and prime brokerage Funds and asset management—general International funds guides Shari'ah funds UCITS UK AIFM regime

Latest Financial Services News

PRA, FCA and Society of Lloyd's announce streamlined authorisation process for managing agents

PRA, FCA and Society of Lloyd's announce streamlined authorisation process for managing agents
Tribunal uphold FCA’s prohibition order against former Barclays CEO (Staley v FCA)

Tribunal uphold FCA’s prohibition order against former Barclays CEO (Staley v FCA)

The following Financial Services news provides comprehensive and up to date legal information on Tribunal uphold FCA’s prohibition order against former Barclays CEO (Staley v FCA)

FCA announces sentencing of two individuals for insider dealing and money laundering

FCA announces sentencing of two individuals for insider dealing and money laundering
IAIS publishes Application Paper on fair treatment of a wide range of consumers

IAIS publishes Application Paper on fair treatment of a wide range of consumers

Featured Financial Services content

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...

Second charge mortgage regime

Second charge mortgage regime

Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...

Practice notes

FCA client money rules

FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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30th May
Practice notes

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, key investor information...
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Produced in partnership with Elizabeth Budd of Pinsent Masons
2nd Jun
Practice notes

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial services

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial servicesThis Practice Note provides a detailed introduction to the...
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2nd Jun
Practice notes

Debt sale and purchase agreements

Debt sale and purchase agreementsThe debt sale and purchase market is an important way for lenders and debt sellers to reduce balance sheet liability....
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2nd Jun
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Practice notes

Consumer Credit Act 1974—early settlement

Consumer Credit Act 1974—early settlementIntroduction to early settlementBorrowers are entitled, at any time, to bring regulated agreements to an end....
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Produced in partnership with George Mallet of Henderson Chambers
2nd Jun
Q&As

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the customer clears the arrears but leaves default sums outstanding, is the lender required to keep sending subsequent notices of sums in arrears under CCA 1974, s 86B(5)(b)?

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the...
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Produced in partnership with Russell Kelsall of Walker Morris
30th May
Practice notes

FCA Handbook—introduction

FCA Handbook—introductionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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30th May
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes
30th May
Practice notes

Credit limits

Credit limitsThis Practice Note provides an overview of the rules that apply to credit limits. A borrower will be set a credit limit on the maximum...
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2nd Jun
Practice notes

Consumer credit agreements—pre-contract requirements

Consumer credit agreements—pre-contract requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Dan Jones of Orrick, Herrington & Sutcliffe and Guy Stevenson of Orrick, Herrington & Sutcliffe
30th May
Practice notes

What are regulated activities?

What are regulated activities?Scope of this Practice NoteThis Practice Note explains what constitutes regulated activities under the UK regulatory...
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2nd Jun
Practice notes

MiFID and non-MiFID business

MiFID and non-MiFID businessThis Practice Note summarises what MiFID business is as the term is defined in the Financial Conduct Authority (FCA)...
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2nd Jun
Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessBackgroundAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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30th May
Practice notes

Financial Services Act 2012 [Archived]

Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....
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30th May
Practice notes

The general prohibition and implications of its breach

The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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30th May
Practice notes

Suspicious transaction and order reports (STORs) under the UK Market Abuse Regulation

Suspicious transaction and order reports (STORs) under the UK Market Abuse RegulationThis Practice Note details the suspicious transaction and order...
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2nd Jun

Popular documents

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, key investor information documents (KIIDs), promotion and NURS that are funds of alternative investment funds (FAIFs) or property authorised investment funds (PAIFs).What is

What is the difference between an appeal and a review?

What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a

Strike out—making an application to strike out a statement of case

Strike out—making an application to strike out a statement of caseA strike out order can be made either following an application by the parties or on the court's own initiative. This Practice Note deals with the scenario of the order being made following a party's application.Making an application

Contributory negligence in personal injury claims

Contributory negligence in personal injury claimsContributory negligence is a partial defence which can lead to a discount in damages.Other defences may also be relevant. See Practice Notes: Did the claimant consent to the risk of injury? and Was the claimant involved in an illegal activity?If a