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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
Taxation of unauthorised unit trusts—practical uses and considerationsThis Practice Note summarises the main practical uses of unauthorised unit...
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15th Aug
Practice notes
Reviewing the tax aspects of a private equity fund limited partnership agreementThis Practice Note sets out what to look for when reviewing a private...
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Produced in partnership with Catherine Sear of Proskauer Rose 15th Aug
Precedents
Model discretionary investment management agreementInvestment Association—Model discretionary investment management agreement (May 2018)In May 2018,...
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15th Aug
Precedents
Limited partnership agreement—private fund limited partnershipThis limited partnership Agreement is made on [insert day and month] 20 [insert...
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12th Aug
Practice notes
Management of the corporate joint venture and minority shareholder issuesBoard compositionIn 50:50 joint ventures, the joint venture agreement (JVA)...
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12th Aug
Practice notes
Brexit—UK listing and prospectus regimeAt 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a...
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12th Aug
Practice notes
The nature of a limited partnership and its legal frameworkSources of limited partnership lawThe main body of law governing a limited partnership...
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12th Aug
Practice notes
Most favoured nation provisions and their use in private equity fundsIP COMPLETION DAY: The Brexit transition period ended at 11pm on 31 December...
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Produced in partnership with William Jones of RPC 12th Aug
Practice notes
Private equity and venture capital—glossary of termsIP COMPLETION DAY: The Brexit transition period ended at 11pm on 31 December 2020. At this time...
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12th Aug
Practice notes
Venture capital investmentVenture capital is a type of private equity investment provided to early stage, start-up businesses with little or no...
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12th Aug
Practice notes
Disclosure Guidance and Transparency Rules trackerLast updated July 2021Tracker overviewThis Disclosure Guidance and Transparency Rules (DTR) tracker...
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12th Aug
Practice notes
Limited partnership agreementsThis Practice Note discusses the provisions of a limited partnership agreement for limited partnerships formed under the...
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12th Aug
Practice notes
Forming a limited partnership and continuing obligationsThis Practice Note discusses the formation of a limited partnership under the Limited...
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12th Aug
Practice notes
Setting up a corporate joint venture—initial considerationsInitial considerationsThere are a number of matters that parties to a proposed joint...
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12th Aug
Practice notes
International Financial Markets Guide—Jersey1. Telephone taping(a)(i) What are the restrictions on the taping of telephone calls to or from a person...
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Produced in partnership with Ogier 11th Aug
Practice notes
International Financial Markets Guide—GuernseyIntroductory NoteGuernsey includes the islands of Guernsey, Herm and Jethou. The Bailiwick of Guernsey...
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Produced in partnership with Ogier 11th Aug
Practice notes
AIFMD—organisational and valuation requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 11th Aug
Practice notes
Key provisions of UCITS—master-feeder structuresBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Lucy Frew, formerly of Gide Loyrette Nouel LLP 11th Aug
Practice notes
Impact of Brexit on asset managers and investment fundsThis Practice Note considers the impact of Brexit on asset managers and investment funds and...
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11th Aug

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