Financial stability, recovery and resolution

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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
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
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
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
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 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
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
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 Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes
Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
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Produced in partnership with DLA Piper 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 Financial stability, recovery and resolution content

Practice notes
The Liikanen Report and EU ring-fencing measures [Archived]BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Administration procedures for UK banks, building societies and investment banksThis Practice Note provides high-level guidance on the administration...
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15th May
Practice notes
Bank Recovery and Resolution Directive (BRRD)—essentialsThis Practice Note gives a general overview of the Bank Recovery and Resolution Directive...
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15th May
Practice notes
Financial Services (Banking Reform) Act 2013—background and contextBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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15th May
Practice notes
Financial Stability BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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15th May
Practice notes
Financial Services (Banking Reform) Act 2013—essentialsThis Practice Note outlines the key changes to UK banking reform adopted through the Financial...
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15th May
Practice notes
UK structural banking reform—ring-fencingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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15th May
Practice notes
Banking Reform Act secondary legislation—the Excluded Activities and Prohibitions OrderBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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15th May
Practice notes
The Single Resolution MechanismBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with DLA Piper 15th May
Practice notes
Banking Reform Act secondary legislation—Ring-fenced Bodies and Core Activities OrderBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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15th May
Practice notes
Bank Recovery and Resolution Directive (BRRD)—technical standards and guidelinesThe Bank Recovery and Resolution Directive 2014/59/EU (BRRD)...
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Produced in partnership with DLA Piper 15th May
Practice notes
State aid for financial institutions—the Impaired Assets Communication [Archived]From IP completion day onwards, this document is archived. This...
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15th May
Practice notes
State aid for financial institutions—the Banking Communication [Archived]From IP completion day onwards, this document is archived. This Government’s...
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15th May
Practice notes
HSBC Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing...
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15th May
Practice notes
RBS Group second ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank...
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15th May
Practice notes
Lloyds Banking Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank...
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15th May
Practice notes
State aid for financial institutions—the Restructuring Communication [Archived]From IP completion day onwards, this document is archived. This...
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15th May
Practice notes
RBS Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank ring-fencing...
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15th May
Practice notes
State aid for financial institutions—the Recapitalisation Communication [Archived]From IP completion day onwards, this document is archived. This...
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15th May
Practice notes
Barclays Group ring-fencing transfer scheme summary [Archived]This Practice Note has been archived and is not maintained.Rationale for bank...
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15th May

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