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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
Quick Look Brexit Financial Services Legislation Status Guide—PRIIPsThis Quick Look Brexit Financial Services Legislation Status Guide provides...
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11th Aug
Practice notes
Securities Financing Transactions Regulation (SFTR)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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11th Aug
Practice notes
Undertakings for Collective Investment in Transferable Securities (UCITS)—essentials BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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11th Aug
Practice notes
Fund management—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Sweden published as part of the...
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11th Aug
Practice notes
AIFMD—one minute guide This one minute guide provides a condensed summary of the key requirements of the Alternative Investment Fund Managers...
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11th Aug
Practice notes
Collective investment schemes—one minute guideThis one minute guide provides a brief summary of the key regulatory requirements for collective...
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11th Aug
Practice notes
Impact of Brexit: Packaged retail and insurance-based investment products (PRIIPs)—quick guideThis Regulation (EU) 1286/2014 on key information...
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11th Aug
Practice notes
AIFMD—transparency rules and the prospectusBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with David Young of Pinsent Masons and Alice Bell of Pinsent Masons 11th Aug
Practice notes
AIFMD—the marketing of AIFs, passporting and third country provisionsThis Practice Note explores the measures in the Alternative Investment Fund...
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11th Aug
Practice notes
Collective investment schemes—essentialsThis Practice Note examines the definition of a collective investment scheme (CIS) and available exemptions,...
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11th Aug
Practice notes
Safeguarding and administering investmentsDefinitionSafeguarding and administering investments (commonly known as 'custody') is a regulated activity...
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11th Aug
Practice notes
Private equity (transactions)—Nigeria—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (transactions) in...
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11th Aug
Practice notes
AIFMD—the role of competent authoritiesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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11th Aug
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
Practice notes
The FCA’s Asset Management Market StudyBackground to the studyThe FCA published the terms of reference for its Asset Management Market Study (AMMS) on...
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11th Aug
Practice notes
Fund management—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Greece published as part of the...
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11th Aug
Practice notes
Private equity (fund formation)—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to private equity (fund...
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11th Aug
Practice notes
AIFMD—Remuneration Code .What is the AIFMD?The AIFMD (Directive 2011/61/EU) covers the management, administration and marketing of alternative...
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11th Aug
Practice notes
Changing the trustee of an Authorised Unit TrustWhat is an authorised unit trustAn Authorised Unit Trust (AUT) is a type of investment fund and,...
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Produced in partnership with Jonathan Bayliss of Partner, Charles Russell Speechlys LLP 11th Aug
Practice notes
European Long-Term Investment Funds Regulation (the ELTIF Regulation)This Practice Note analyses the European Long-Term Investment Fund (ELTIF)...
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11th Aug

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