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Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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9th Nov
Practice notes
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...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
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...
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Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes
The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...
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9th Nov
Practice notes
BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...
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9th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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9th Nov

Most recent Markets and trading content

Practice notes
Misleading statements, misleading impressions and market manipulationPart 7 of the Financial Services Act 2012The Financial Services Act 2012 (FSA...
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14th May
Practice notes
Suspicious transaction and order reports (STORs) under the Market Abuse RegulationThis Practice Note details the suspicious transaction and order...
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14th May
Practice notes
FCA and PRA whistleblowing requirements—one minute guideBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with DLA Piper 14th May
Practice notes
Impact of Brexit: Market Abuse Regulation—quick guideThis quick guide provides high-level information on the measures taken under the European Union...
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13th May
Practice notes
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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13th May
Practice notes
Market Abuse Regulation (MAR)—one minute guideWhat is the objective of the EU Market Abuse Regulation and UK Market Abuse Regulation?The Market Abuse...
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13th May
Practice notes
Share incentives aspects of MAR and related guidanceFORTHCOMING CHANGE: The Financial Services Act 2021, which comes into force in stages, includes...
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12th May
Practice notes
In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as applicable, and significant...
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10th May
Practice notes
This Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope of the UK...
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6th May
Practice notes
This Practice Note considers the nature and purpose of stabilisation, the process of stabilisation, the potential offences that may arise when...
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5th May
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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29th Apr
Precedents
Strictly private and confidentialWall-crossed investor scriptWe are contacting you to discuss a potential [description of the nature of the securities...
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21st Apr
Practice notes
The economic and legal backdropGeneral corporate insolvency law was inappropriate for distressed banks. In particular:•the insolvency practitioners...
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Produced in partnership with Dominic McCahill of Skadden 14th Apr
Precedents
Article 18(1) of the UK Market Abuse Regulation (Retained Regulation (EU) 596/2014 (UK Market Abuse Regulation)) provides that an issuer or any person...
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9th Apr
Precedents
This precedent memorandum sets out a ‘specimen’ group-wide dealing policy published by The Chartered Governance Institute (formerly known as ICSA: The...
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9th Apr
Precedents
Article 18(1) of the UK Market Abuse Regulation (Retained Regulation (EU) 596/2014 (UK Market Abuse Regulation)) provides that an issuer or any person...
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9th Apr
Q&As
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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8th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
8th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
8th Apr

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