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Regulation of capital markets

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Latest Financial Services News

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

The following Corporate Crime news provides comprehensive and up to date legal information on US Congress to tackle anticorruption legislation, including bill to outlaw foreign bribe solicitation

Top UK court to hear £118m HSBC Ponzi scheme case

Top UK court to hear £118m HSBC Ponzi scheme case

The following Financial Services news provides comprehensive and up to date legal information on Top UK court to hear £118m HSBC Ponzi scheme case

Payments watchdog warns over UK access-to-cash divide

Payments watchdog warns over UK access-to-cash divide

The following Financial Services news provides comprehensive and up to date legal information on Payments watchdog warns over UK access-to-cash divide

OFAC settlement extends sanctions reach beyond US dollar

OFAC settlement extends sanctions reach beyond US dollar

The following Corporate Crime news provides comprehensive and up to date legal information on OFAC settlement extends sanctions reach beyond US dollar

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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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 FPC

Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

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

FCA client money rules

FCA client money 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

What are regulated activities?

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

FCA client classification requirements

FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

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

EMIR REFIT and EMIR 2.2 roadmap

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...
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19th May
Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 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

The Financial Services Compensation Scheme

The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

The Single Rulebook

The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Regulation of capital markets content

Practice notes

Initial public offerings—Sweden—Q&A guide

Initial public offerings—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Sweden published...
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2nd Sep
Practice notes

Initial public offerings—South Africa—Q&A guide

Initial public offerings—South Africa—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in South...
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2nd Sep
Practice notes

Initial public offerings—Ireland—Q&A guide

Initial public offerings—Ireland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Ireland...
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2nd Sep
Practice notes

Initial public offerings—Belgium—Q&A guide

Initial public offerings—Belgium—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Belgium...
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2nd Sep
Practice notes

Initial public offerings—Australia—Q&A guide

Initial public offerings—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Australia...
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2nd Sep
Practice notes

Initial public offerings—Hong Kong—Q&A guide

Initial public offerings—Hong Kong—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Hong Kong...
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2nd Sep
Practice notes

Initial public offerings—Italy—Q&A guide [Archived]

Initial public offerings—Italy—Q&A guide [Archived]This Practice Note had been archived and is not maintained. This contains a jurisdiction-specific...
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2nd Sep
Practice notes

Initial public offerings—Greece—Q&A guide

Initial public offerings—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to initial public offerings in Greece published...
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2nd Sep
Practice notes

Central Securities Depositories Regulation—essentials

Central Securities Depositories Regulation—essentialsThis Practice Note provides information on the Central Securities Depositories Regulation (EU)...
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31st Aug
tag iconBrexit
Practice notes

Continuing obligations—transactions by a person discharging managerial responsibilities (UK Market Abuse Regulation and DTR 3)

Continuing obligations—transactions by a person discharging managerial responsibilities (UK Market Abuse Regulation and DTR 3)This Practice Note...
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25th Aug
tag iconIn-house
Practice notes

Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guide

Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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25th Aug
Practice notes

Policing and enforcement of the UK Listing Regime

Policing and enforcement of the UK Listing RegimeThis Practice Note focuses on the policing and enforcement of the UK Listing Regime by the FCA. It...
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24th Aug
Practice notes

Market Abuse Regulation (MAR)—essentials

Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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24th Aug
Practice notes

Directive 2014/57/EU on criminal sanctions for market abuse

Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 24th Aug
Practice notes

Market Abuse Regulation (MAR)—one minute guide

Market Abuse Regulation (MAR)—one minute guideWhat is the objective of the EU Market Abuse Regulation and UK Market Abuse Regulation?The Market Abuse...
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24th Aug
Practice notes

An introduction to short selling

An introduction to short sellingShort selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which...
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24th Aug
Practice notes

Dealing and managing client orders

Dealing and managing client ordersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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24th Aug
Practice notes

The Short Selling regulation

The Short Selling regulationIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
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19th Aug
Practice notes

MiFID II conduct of business and investor protection requirements

MiFID II conduct of business and investor protection requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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19th Aug
Practice notes

MiFID II and MiFIR—market structure

MiFID II and MiFIR—market structureBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th Aug

Popular documents

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealth

AML and counter-terrorist financing—source of funds and source of wealthSource of funds and wealth was a key focus of the SRA’s Preventing Money Laundering and Financing of Terrorism thematic review, published in March 2018. Its findings included that:•most firms understood the distinction between

Amending the articles of association

Amending the articles of association

Amending the articles of associationThis Practice Note summarises the procedure to amend or change a company’s articles of association in accordance with the Companies Act 2006 (CA 2006).Why amend the articles?There are many different reasons why a company may want, or be required, to amend its

Pre-action disclosure—the application

Pre-action disclosure—the application

Pre-action disclosure—the applicationThis Practice Note provides guidance on CPR 31.16 pre-action disclosure applications, where the applicant and respondent are likely to be parties to subsequent proceedings. It provides guidance on how to make such an application for disclosure before proceedings

What is a statutory declaration of solvency, and what happens if a false declaration of solvency is made

What is a statutory declaration of solvency, and what happens if a false declaration of solvency is made

What is a statutory declaration of solvency, and what happens if a false declaration of solvency is madeStatutory declaration of solvencyA company enters voluntary liquidation when the members of the company vote to do so by a special resolution. For more information, see Practice Note: What is a