Funds and asset management—general

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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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9th Nov
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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9th Nov
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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9th Nov
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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Produced in partnership with Morrison & Foerster LLP 12th Jan
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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9th Nov
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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9th Nov
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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9th Nov
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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9th Nov
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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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
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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9th Nov
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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9th Nov
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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9th Nov
Practice notes
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...
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9th Nov
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 >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov

Most recent Funds and asset management—general content

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 >
22nd Jan
Practice notes
This Practice Note considers the impact of Brexit on asset managers and investment funds and key ‘no-deal’ preparedness steps.For an overview of...
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22nd Jan
Practice notes
This Quick Look Brexit Financial Services Legislation Status Guide provides high-level information on the status of Regulation (EU) 1286/2014 on key...
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22nd Jan
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with Catherine Sear of Proskauer Rose 22nd Jan
Practice notes
This Brexit Undertakings for Collective Investment in Transferable Securities 2009/65/EC (UCITS) quick guide details current UK legislation and...
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21st Jan
Practice notes
This Brexit Alternative Investment Fund Managers Directive 2011/61/EC (AIFMD) quick guide details current UK legislation and retained EU legislation...
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21st Jan
Practice notes
In the UK, investigations into markets can be carried out where there are concerns that markets may not be working well, to find out why and consider...
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20th Jan
Practice notes
This Regulation (EU) 1286/2014 on key information documents (KIDs) for packaged retail and insurance-based investment products (PRIIPs) (PRIIPs...
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19th Jan
Practice notes
At 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a ratified Withdrawal Agreement between...
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19th Jan
Practice notes
This Resource Note highlights relevant commentary, analysis and resources to assist with the interpretation of, and provide practical guidance on the...
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18th Jan
Practice notes
Initial considerationsThere are a number of matters that parties to a proposed joint venture should consider before entering into formal legal...
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18th Jan
Practice notes
Venture capital is a type of private equity investment provided to early stage, start-up businesses with little or no operating history.Background to...
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18th Jan
Practice notes
To access the Market Tracker corporate deal data analysis tool, click here. Alternatively click the link in the Tools menu under the Key Resources tab...
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18th Jan
Practice notes
Principal documentsThe principal documents required for a corporate joint venture are:•the articles of association (articles) of the joint venture...
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18th Jan
Practice notes
This Practice Note discusses the formation of a limited partnership under the Limited Partnerships Act 1907 (LPA 1907). It also covers, among other...
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18th Jan
Practice notes
Board compositionIn 50:50 joint ventures, the joint venture agreement (JVA) will usually provide for the parties to have the right to appoint an equal...
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18th Jan
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with William Jones of RPC 18th Jan
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
18th Jan
Practice notes
This Practice Note discusses the provisions of a limited partnership agreement for limited partnerships formed under the Limited Partnerships Act 1907...
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18th Jan
Practice notes
Sources of limited partnership lawThe main body of law governing a limited partnership formed under English law (as opposed to a general partnership,...
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18th Jan

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