Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
FCA—training and competenceBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
The Capital Markets UnionIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
The Prospectus Regulation—prospectus format and contentsIn this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
The Prospectus Regulation—is a prospectus required?In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK...
The Prospectus Regulation—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
European regulation of structured products and securitisation—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the...
The Prospectus Regulation—approval of prospectuses and single passportIn this Practice Note, links are given to the relevant provisions of EU and/or...
Covered bonds What are covered bonds?Covered bonds are asset-backed securities (ABS) with the following specific features:•they are issued by banks or...
SMEs and the debt capital marketsIntroductionTraditional debt capital marketsThe debt capital markets have traditionally been used by major companies...
Sustainable finance—recent newsThis Practice Note links to news on sustainable finance, including green loans and green bonds, that has been published...
What are the main requirements for a premium or standard listing on the main market of the London Stock Exchange?The UK listing regime has two listing...
Listing Rules—employee share schemes aspectsBrexit: For details of the potential impact of Brexit on the Listing Rules, see Practice Note: Brexit—UK...
What is the quoted eurobond exemption?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period...
What information should go into the summary according to the new Prospectus Regulation?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end...
I act for a small company which is having trouble obtaining bank finance—would an issue of mini-bonds be a viable alternative?IP COMPLETION DAY: 11pm...
Sign-in
Help
In-house
