Offering securities

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Read More >
19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
Read More >
Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
Read More >
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...
Read More >
Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
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...
Read More >
19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
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...
Read More >
19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
Read More >
19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
Read More >
Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Read More >
Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Offering securities content

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...
Read More >
4th Sep
Practice notes
Initial public offerings—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in United...
Read More >
2nd Sep
Practice notes
Initial public offerings—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Switzerland...
Read More >
2nd Sep
Practice notes
Initial public offerings—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Japan published...
Read More >
2nd Sep
Practice notes
Initial public offerings—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Singapore...
Read More >
2nd Sep
Practice notes
Initial public offerings—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in USA published as...
Read More >
2nd Sep
Practice notes
Initial public offerings—Luxembourg—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Luxembourg...
Read More >
2nd Sep
Practice notes
Initial public offerings—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Sweden published...
Read More >
2nd Sep
Practice notes
Initial public offerings—South Africa—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in South...
Read More >
2nd Sep
Practice notes
Initial public offerings—Ireland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Ireland...
Read More >
2nd Sep
Practice notes
Initial public offerings—Belgium—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Belgium...
Read More >
2nd Sep
Practice notes
Initial public offerings—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Australia...
Read More >
2nd Sep
Practice notes
Initial public offerings—Hong Kong—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Hong Kong...
Read More >
2nd Sep
Practice notes
Initial public offerings—Italy—Q&A guide [Archived]This Practice Note had been archived and is not maintained. This contains a jurisdiction-specific...
Read More >
2nd Sep
Practice notes
Initial public offerings—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Greece published...
Read More >
2nd Sep
Practice notes
Prospectus Regulation and Prospectus Directive comparison and analysisIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
Read More >
13th Aug
Practice notes
Prospectus Regulation roadmapIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered...
Read More >
13th 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...
Read More >
13th 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...
Read More >
13th Aug
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...
Read More >
13th Aug

Popular documents