Market conduct

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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 Market conduct content

Practice notes
COBS 12—investment research requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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14th Sep
Practice notes
UK Market Abuse Regulation—insider dealingThis Practice Note provides an overview of the offence of insider dealing as prescribed by Retained...
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13th Sep
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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13th Sep
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 1st Sep
Practice notes
Continuing obligations—transactions by a person discharging managerial responsibilities (UK Market Abuse Regulation and DTR 3)This Practice Note...
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25th Aug
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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25th Aug
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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25th Aug
Practice notes
Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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24th Aug
Practice notes
Market Abuse Regulation (MAR)—level 2 and level 3 measuresBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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24th Aug
Practice notes
Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 24th Aug
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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24th Aug
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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24th Aug
Practice notes
Dealing and managing client ordersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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24th Aug
Practice notes
MiFID II conduct of business and investor protection requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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19th Aug
Practice notes
Share incentives aspects of MAR and related guidanceImplementation of MAR in the UKRegulation (EU) No 596/2014, the Market Abuse Regulation ( MAR),...
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15th Aug
Precedents
Specimen Group-Wide Dealing PolicyThis precedent memorandum sets out a ‘specimen’ group-wide dealing policy published by The Chartered Governance...
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12th Aug
Precedents
Insider list—section relating to permanent insidersArticle 18(1) of the UK Market Abuse Regulation (Retained Regulation (EU) 596/2014 (UK Market Abuse...
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12th Aug
Precedents
Checklist and record—clearance to deal request by PDMR or directorChecklist and record—clearance to deal request by PDMR or directorUsing this...
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12th Aug
Precedents
Specimen Dealing CodeThis Precedent is a memorandum that sets out the details of the ‘specimen’ dealing code. The specimen dealing code is the product...
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12th Aug
Precedents
Insider list—section relating to deal specific insidersArticle 18(1) of the UK Market Abuse Regulation (Retained Regulation (EU) 596/2014 (UK Market...
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12th Aug

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