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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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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
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
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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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
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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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
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes
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...
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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
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 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
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
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 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Investment funds and asset management content

Practice notes
UK Market Abuse Regulation (MAR)—corporate documents and materialsThis Practice Note provides an overview of our content for corporate lawyers...
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30th Jul
Practice notes
The structure and elements of a musharaka transactionIntroduction to musharaka—a profit and loss sharing instrument of Islamic financeA fundamental...
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Produced in partnership with Morgan Lewis 30th Jul
Practice notes
Musharaka documentation and transaction mechanicsIntroduction—transactional Islamic financeThere are a number of different opinions and principles...
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Produced in partnership with Morgan Lewis 30th Jul
Practice notes
Sukuk documentation and transaction mechanicsThis Practice Note provides an overview of the key considerations that an Obligor should take into...
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Produced in partnership with Dentons 30th Jul
Practice notes
Structure of an Ijarah transactionKey features•This is the equivalent of leasing in an Islamic finance structure and is a contract under which the...
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30th Jul
Practice notes
Bai salam documentation and transaction mechanicsKey elements of bai salamAs discussed in more detail in the Practice Note: The structure and required...
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Produced in partnership with Trowers & Hamlins 30th Jul
Practice notes
LR Resource Note—LR 15—Closed-Ended Investment Funds: Premium listingThis Resource Note highlights relevant commentary, analysis and resources to...
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30th Jul
Practice notes
The structure and required elements of a murabaha TransactionMurabaha is both one of the most widely used and controversial Islamic finance...
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Produced in partnership with King & Spalding 30th Jul
Practice notes
Since 2007, the Markets in Financial Instruments Directive (MiFID) had increased competition and innovation, leading to better services...
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25th Sep

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