Markets and trading

Markets and trading guidance:

Background to the regulated activities relating to benchmarks The London Inter-Bank Offered Rate (LIBOR) is a global benchmark for short term interest...

Practice Note

Background to the regulated activities relating to benchmarks The London Inter-Bank Offered Rate (LIBOR) is a global benchmark for short term interest rates. The...

Practice Note

This Practice Note provides high-level guidance on the administration regimes for UK banks, investment firms, building societies and investment banks under: • the Banking...

Practice Note

AIFMD and the regulation of depositories The purpose of the depositary is to act as a legally separate organisation, responsible for holding the formal documents that...

Practice Note

Background On 1 April 2013, the Financial Conduct Authority (FCA) became responsible for the conduct supervision of all firms authorised under the Financial Services and...

Practice Note

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 entered an...

Practice Note

Checklist and record—clearance to deal request by PDMR or director Using this checklist and record: On receipt of a clearance to deal request from a person discharging...

Precedents

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 entered an...

Practice Note

This Practice Note considers the obligations regarding the disclosure and control of inside information under the Market Abuse Regulation (EU) No 596/2014 (Market Abuse...

Practice Note

This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...

Practice Note

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 entered an...

Practice Note

This precedent memorandum sets out the procedures to be followed by a listed company and its subsidiaries in relation to dealings in company securities. The purpose of...

Precedents

Background The Market Abuse Directive (2003/6/EC, commonly referred to as 'MAD') was adopted in 2003 and established a legal framework throughout the European Union (EU)...

Practice Note

The US effort to end the ‘too-big-to-fail’ phenomenon which has seen controversial government support of the largest failing banks or other financial institutions is...

Practice Note

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be treated by the EU as a...

Practice Note

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

Practice Note

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 topics and issues...

Practice Note

FCA and PRA rules on whistleblowing On 6 October 2015, the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA) published policy...

Practice Note

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 entered an...

Practice Note

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 entered an...

Practice Note

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 entered an...

Practice Note

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 entered an...

Practice Note

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 entered an...

Practice Note

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 entered an...

Practice Note

This Practice Note outlines the key changes to UK banking reform adopted following the Financial Services (Banking Reform) Act 2013 (FS(BR)A 2013) (Banking Reform Act)....

Practice Note

Financial services firms and insolvency provisions in FSMA 2000 The provisions in Part XXIV of the Financial Services and Markets Act 2000 (FSMA 2000) allow the...

Practice Note
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