Securitisation and structured products

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The Upper Tribunal dismisses application to prohibit publication of FCA’s Decision Notice for non-financial misconduct [Frensham v FCA]

The following Financial Services news provides comprehensive and up to date legal information on The Upper Tribunal dismisses application to prohibit publication of FCA’s Decision Notice for non-financial misconduct [Frensham v FCA]

Contractual interpretation by administrators and common sense (Avery-Gee and others v Sibley and others)

The following Financial Services news provides comprehensive and up to date legal information on Contractual interpretation by administrators and common sense (Avery-Gee and others v Sibley and others)

Financial Services weekly highlights—8 April 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—8 April 2021

Ringing the changes with the CPS’s Economic Crime Strategy 2025

The following Corporate Crime news provides comprehensive and up to date legal information on Ringing the changes with the CPS’s Economic Crime Strategy 2025

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

What is electronic money?

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

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Practice notes

Non-UCITS retail schemes (NURS)

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...

Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan

Practice notes

Regulatory capital—purpose, quantity and quality

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...

Produced in partnership with Morrison & Foerster LLP 12th Jan

Practice notes

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...

9th Nov

Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...

9th Nov

Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...

9th Nov

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...

9th Nov

Practice notes

Fair and Effective Markets Review (FEMR)—one minute guide

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...

9th Nov

Practice notes

Recognised investment exchanges

Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...

9th Nov

In-house

Practice notes

MLD4—key provisions for financial services firms—one minute guide

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...

9th Nov

Practice notes

UCITS VI

UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...

Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan

Practice notes

European Venture Capital Funds (EuVECA) Regulation

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...

9th Nov

Practice notes

Entering into a consumer hire agreement as owner

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...

9th Nov

Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...

9th Nov

Practice notes

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...

9th Nov

Brexit

Practice notes

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...

9th Nov

Practice notes

What is credit and what is a regulated consumer credit agreement?

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...

9th Nov

Most recent Securitisation and structured products content

Practice notes

Coronavirus (COVID-19)—EU capital markets recovery package

This Practice Note summarises the new capital markets recovery package of measures proposed by the European Commission in July 2020 to address the...

12th Apr

COVID-19

Practice notes

Regulatory capital treatment of securitisations under CRR and Solvency II

In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as applicable, and significant...

9th Apr

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 other...

8th Apr

Practice notes

Securitisation Regulation—essentials

This Practice Note provides information on the Securitisation Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p. 35) (EU Securitisation Regulation)...

8th Apr

Practice notes

EU and UK regulation of insurance-linked securities

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

8th Apr

Practice notes

European regulation of structured products and securitisation—one minute guide

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

8th Apr

Practice notes

Sustainable securitisations

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

Produced in partnership with Mindy Hauman of White & Case, Chris McGarry of White & Case and Debashis Dey of White & Case 8th Apr

Practice notes

Risk retention in EU and UK securitisations

This Practice Note describes the position as at January 2021.What is risk retention?Risk retention in the EU and the UKThe risk retention requirement...

Produced in partnership with Alexander Collins and Nick Shiren of Cadwalader, Wickersham & Taft LLP 8th Apr

Practice notes

Securitisation Regulation—one minute guide

This Practice Note provides high level information on Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p. 35) (the EU Securitisation Regulation) and...

8th Apr

Practice notes

Impact of Brexit: Securitisation Regulation—quick guide

This quick guide details UK legislation and retained EU legislation that has been amended and/or revoked by the Securitisation (Amendment) (EU Exit)...

8th Apr

Brexit