Markets and trading

Markets and trading guidance:

The following Financial Services practice note provides comprehensive and up to date legal information on Administration procedures for UK banks, building societies and...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Approach to, and key drivers of wholesale and retail conduct...

Practice notes

The following Financial Services Q&A provides comprehensive and up to date legal information on As a relevant authorised person (a regulated firm), when do you have to...

Q&As

The following Tax Q&A provides comprehensive and up to date legal information on Brexit: Can UK businesses now ignore the proposed EU financial transactions tax?...

Q&As

The following Corporate precedent provides comprehensive and up to date legal information on Checklist and record—clearance to deal request by PDMR or director...

Precedents

The following Financial Services practice note provides comprehensive and up to date legal information on COBS 12—investment research requirements

Practice notes

The following Corporate practice note provides comprehensive and up to date legal information on Continuing obligations—disclosure and control of 'inside information'...

Practice notes

The following Corporate practice note provides comprehensive and up to date legal information on Continuing obligations—transactions by a person discharging managerial...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Dealing and managing client orders

Practice notes

The following Corporate precedent provides comprehensive and up to date legal information on Dealing Procedures Manual

Precedents

The following Financial Services practice note provides comprehensive and up to date legal information on Directive 2014/57/EU on criminal sanctions for market abuse...

Practice notes

This timeline shows key developments relating to the Regulation on over-the-counter (OTC) derivative transactions, central counterparties (CCPs) and trade repositories...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Fair and Effective Markets Review (FEMR)—one minute guide...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA and PRA whistleblowing requirements—one minute guide...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA appropriateness rules

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA best execution rules

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA client classification requirements

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA inducements rules

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA suitability rules

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on FCA telephone and electronic communication recording...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Financial Services (Banking Reform) Act 2013—essentials...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Financial services firms and insolvency

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Financial Stability Board

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Financial stability information gathering powers...

Practice notes

The following Financial Services practice note provides comprehensive and up to date legal information on Impact of Brexit: Market Abuse Regulation—quick guide...

Practice notes

The following Corporate practice note provides comprehensive and up to date legal information on Insider lists

Practice notes
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