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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
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
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
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
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
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
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
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
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
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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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...
Read More >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Prudential requirements content

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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9th Apr
Practice notes
From IP completion day onwards, this document is archived. This Government’s policy is that at the end of the transition period the UK will have its...
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9th Apr
Practice notes
From IP completion day onwards, this document is archived. This Government’s policy is that at the end of the transition period the UK will have its...
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9th Apr
Practice notes
The Bank Recovery and Resolution Directive 2014/59/EU (BRRD) establishes a framework for the recovery and resolution of investment firms and credit...
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Produced in partnership with DLA Piper 8th Apr
Practice notes
This Brexit Capital Requirements Regulation (EU) 575/2013 (EU CRR) quick guide details UK legislation and retained EU legislation that was amended...
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8th Apr
Practice notes
This Practice Note summarises the new capital markets recovery package of measures proposed by the European Commission in July 2020 to address the...
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8th Apr
Practice notes
This Quick Look Brexit Financial Services Legislation Status Guide provides high-level information on the status of the Capital Requirements Directive...
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8th Apr
Practice notes
This Practice Note gives a general overview of the Bank Recovery and Resolution Directive 2014/59/EU (EU BRRD) which established a minimum harmonised...
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8th Apr
Practice notes
This Practice Note summarises the new targeted banking package of measures proposed by the European Commission in April 2020 to address the impact of...
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8th Apr
Practice notes
This Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV (Directive 2013/36/EU)...
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8th Apr
Practice notes
This Quick Look Brexit Financial Services Legislation Status Guide provides high-level information on the status of the Capital Requirements...
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8th Apr
Practice notes
This Practice Note discusses both (1) the EU remuneration provisions under the Capital Requirements Directive 2013/36/EU (EU CRD IV) and Regulation...
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30th Mar
Practice notes
A package of legislation intended to reduce risks in the EU banking sector, known as the ‘banking package’, was published in the Official Journal of...
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30th Mar
Practice notes
This Practice Note outlines the key changes to UK banking reform adopted through the Financial Services (Banking Reform) Act 2013 (FS(BR)A 2013 or the...
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29th Mar
Practice notes
This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing transfer schemes (RFTS)Ring-fencing of day-to-day banking...
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17th Mar
Practice notes
This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing transfer schemes (RFTS)Ring-fencing of day-to-day banking...
Read More >
17th Mar
Practice notes
This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing transfer schemes (RFTS)Ring-fencing of day-to-day banking...
Read More >
17th Mar
Practice notes
This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing transfer schemes (RFTS)Ring-fencing of day-to-day banking...
Read More >
17th Mar
Practice notes
This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing transfer schemes (RFTS)Ring-fencing of day-to-day banking...
Read More >
17th Mar
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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17th Mar

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