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Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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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
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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9th Nov
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 explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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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
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...
Read More >
Produced in partnership with Morrison & Foerster LLP 12th Jan
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...
Read More >
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
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 Offering securities content

Practice notes
Brexit—UK listing and prospectus regimeAt 11pm UK time on 31 January 2020 (exit day), the United Kingdom left the European Union in accordance with a...
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11th May
Practice notes
This Practice Note summarises the new capital markets recovery package of measures proposed by the European Commission in July 2020 to address the...
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13th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Spain published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Germany published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
Read More >
8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Sweden published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Ireland published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in United Kingdom published as part of the Lexology Getting the...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Malta published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Netherlands published as part of the Lexology Getting the...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Portugal published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Greece published as part of the Lexology Getting the Deal...
Read More >
8th Apr
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
Read More >
8th Apr
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
Read More >
8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Luxembourg published as part of the Lexology Getting the Deal...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Germany published as part of the Lexology Getting the Deal...
Read More >
8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to securities finance in United Kingdom published as part of the Lexology Getting the...
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8th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Austria published as part of the Lexology Getting the Deal...
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8th Apr

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