Regulation of capital markets

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Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 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
Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
FCA—training and competenceBREXIT: 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
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
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
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
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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19th May
Practice notes
FCA best execution 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
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May
Practice notes
Appointed representativesBREXIT: 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
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
FCA inducements 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

Most recent Regulation of capital markets content

Practice notes
The Prospectus Regulation—level 2 and level 3 measuresProspectus Regulation—Level 2 measuresThe tables below lists Commission Delegated Regulations...
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3rd Aug
Practice notes
Prospectus Regulation and Prospectus Directive comparison and analysisIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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3rd Aug
Practice notes
The Capital Markets UnionIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
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3rd Aug
Practice notes
The Prospectus Regulation—prospectus format and contentsIn this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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3rd Aug
Practice notes
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...
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3rd Aug
Practice notes
The Prospectus Regulation—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
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3rd Aug
Practice notes
European regulation of structured products and securitisation—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the...
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3rd Aug
Practice notes
The Prospectus Regulation—approval of prospectuses and single passportIn this Practice Note, links are given to the relevant provisions of EU and/or...
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3rd Aug
Practice notes
Prospectus Regulation roadmapIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered...
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3rd Aug
Practice notes
Covered bonds What are covered bonds?Covered bonds are asset-backed securities (ABS) with the following specific features:•they are issued by banks or...
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3rd Aug
Practice notes
SMEs and the debt capital marketsIntroductionTraditional debt capital marketsThe debt capital markets have traditionally been used by major companies...
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3rd Aug
Practice notes
Listing debt securities in LondonLondon Stock Exchange market structureThe London Stock Exchange (LSE) has three principal markets for listing debt...
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3rd Aug
Practice notes
Sustainable finance—recent newsThis Practice Note links to news on sustainable finance, including green loans and green bonds, that has been published...
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2nd Aug
Q&As
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...
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1st Aug
Q&As
What are the main requirements for a secondary listing on the main market of the London Stock Exchange?A secondary listing is only available to UK...
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1st Aug
Practice notes
Listing Rules—employee share schemes aspectsBrexit: For details of the potential impact of Brexit on the Listing Rules, see Practice Note: Brexit—UK...
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31st Jul
Q&As
What is the quoted eurobond exemption?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period...
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31st Jul
Q&As
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...
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31st Jul
Q&As
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...
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31st Jul
Q&As
Is there any guidance on the aggregation principle in relation to the €5m prospectus exemption?As set out in our Practice Note: The Prospectus...
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31st Jul

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