Markets and trading

Markets and trading guidance:

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

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...

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

Administration procedures overview The three administration procedures covered by this Practice Note (bank administration, building society special administration and...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance on...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this one minute guide. For further guidance...

Practice Note

BREXIT: The UK is due to leave the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance...

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: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

Background to, and application of, CASS 9 Prior to 1 December 2014, most of the client information and reporting requirements in relation to client assets held by...

Practice Note

Background to investment research rules This Practice Note explains the Financial Conduct Authority's (FCA) rules on investment research, which are...

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

MiFID II: changes to client order handling requirements The Markets in Financial Instruments Directive (Directive 2004/39/EC) (MiFID) has been replaced by the recast...

Practice Note