Regulation of capital markets

Regulation of capital markets guidance:

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

Short selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which they do not own at the time of entering into the...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

Regulating Central Securities Depositories Central securities depositories (CSDs) hold securities in a dematerialised form and provide a clearing and settlement service...

Practice Note

What is a CDO? Core concepts Collateralised debt obligations (CDO) are complex, high-value transactions involving numerous parties, extensive documentation and, usually,...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

This Practice Note considers the obligations regarding the disclosure and control of inside information under the Market Abuse Regulation (EU) No 596/2014 (Market Abuse...

Practice Note

This Practice Note focuses on the disclosures required in respect of transactions by a person discharging managerial responsibility (PDMR) and persons closely associated...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For guidance, see...

Practice Note

IOSCO standards For general information on the International Organization of Securities Commissions (IOSCO), see Practice Note: International Organization of Securities...

Practice Note

Role The role of credit rating agents (CRAs) is to provide an objective and analytical opinion on the risk of payment defaults by looking at various factors that help...

Practice Note

BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further guidance, see...

Practice Note

MiFID II: changes to client order handling requirements The Markets in Financial Instruments Directive (Directive 2004/39/EC) (MiFID) has been replaced by the recast...

Practice Note

This timeline tracks the development of the Prospectus Regulation 2017/1129 from 2015. DateIssuing bodyDocumentDescription 1 October 2019European Securities and Markets...

Practice Note

Short selling: the two key types Regulation (EU) 236/2012 on short selling and certain aspects of credit default swaps came into force in the UK on 1 November 2012 and...

Practice Note