Regulation of capital markets

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Practice notes
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 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 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)—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 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 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?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 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)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 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 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 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 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 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—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 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
Review of the EU prudential framework for investment firmsOn 20 December 2017, the European Commission proposed an overhaul of the prudential regime...
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18th Aug
Practice notes
Different types of short sellingShort selling: the two key typesRegulation (EU) 236/2012 (OJ L 86/1) (the EU Short Selling Regulation) came into force...
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18th Aug
Practice notes
Regulation of credit default swaps—the Short Selling RegulationWhat is a credit default swap?A credit default swap (CDS) is a form of credit...
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18th Aug
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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16th 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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15th 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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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...
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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...
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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...
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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...
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13th Aug
Practice notes
Continuing obligations—disclosure and control of 'inside information'This Practice Note considers the obligations regarding the disclosure and control...
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12th Aug
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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12th Aug
Practice notes
Stabilisation—from 3 July 2016 (Market Abuse Regulation)This Practice Note considers the nature and purpose of stabilisation, the process of...
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12th Aug
Practice notes
The Listing Principles and Premium Listing PrinciplesThe Listing Principles (Listing Principles) and the Premium Listing Principles (Premium Listing...
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12th Aug
Practice notes
Suspension and cancellation of listing and tradingThe Financial Conduct Authority (FCA) has the power, in accordance with the Listing Rules (LRs), to...
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12th Aug
Practice notes
Requirements for listing on the Official List of the Financial Conduct AuthorityThis Practice Notice focuses on the two segments of the UK listing...
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12th Aug
Practice notes
Disclosure Guidance and Transparency Rules trackerLast updated July 2021Tracker overviewThis Disclosure Guidance and Transparency Rules (DTR) tracker...
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12th Aug
Practice notes
Transparency Directive trackerLast updated March 2021Tracker overviewThis Transparency Directive tracker presents recent legislative and regulatory...
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12th Aug
Practice notes
The Transparency DirectiveThis Practice Note provides an overview of the implementation of and key changes introduced by the EU Transparency Directive...
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Produced in partnership with Mr Darragh Connell of Forum Chambers 12th Aug
Practice notes
The regulation of crowdfunding platforms—essentialsScope of this Practice NoteThis Practice Note discusses the regulatory issues faced by crowdfunding...
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12th Aug

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