Regulation of capital markets

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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

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

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

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)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 ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

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)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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

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...

Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Regulation of capital markets content

Practice notes

FCA suitability rules

FCA suitability rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

11th Aug

Practice notes

Securities finance—Norway—Q&A guide

Securities finance—Norway—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Norway published as part of...

11th Aug

Practice notes

Recognised investment exchanges

Recognised investment exchangesRecognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the...

11th Aug

In-house

Practice notes

Access to CCPs, trading venues and benchmarks under MiFIR

Access to CCPs, trading venues and benchmarks under MiFIRBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

11th Aug

Practice notes

MiFID II—microstructural issues

MiFID II—microstructural issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

11th Aug

Practice notes

Securities finance—United Kingdom—Q&A guide

Securities finance—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in United Kingdom...

11th Aug

Practice notes

Securities Financing Transactions Regulation (SFTR)—essentials

Securities Financing Transactions Regulation (SFTR)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

11th Aug

Practice notes

Collateralised debt obligations

Collateralised debt obligationsWhat is a CDO?Core conceptsCollateralised debt obligations (CDO) are complex, high-value transactions involving...

11th Aug

Practice notes

Suspension and removal of financial instruments from trading

Suspension and removal of financial instruments from tradingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

11th Aug

Practice notes

Regulatory regime for credit rating agencies

Regulatory regime for credit rating agenciesIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK...

11th Aug

Practice notes

Regulated Markets under MiFID II and MiFIR

Regulated Markets under MiFID II and MiFIRBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

11th Aug

Practice notes

Data reporting services providers

Data reporting services providersBREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the...

11th Aug

Practice notes

The UK implementation of the Market Abuse Regulation

The UK implementation of the Market Abuse RegulationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 11th Aug

Practice notes

Organised Trading Facilities (OTFs)

Organised Trading Facilities (OTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

11th Aug

Practice notes

The impact of Brexit on the MiFID II regime

The impact of Brexit on the MiFID II regimeThis Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial...

11th Aug

Brexit

Practice notes

The Prospectus Directive and the debt capital markets—introduction [Archived]

The Prospectus Directive and the debt capital markets—introduction [Archived]BREXIT: As of 31 January 2020, the UK is no longer an EU Member State,...

10th Aug

Practice notes

The Prospectus Directive and the debt capital markets—approval of prospectuses and single passport [Archived]

The Prospectus Directive and the debt capital markets—approval of prospectuses and single passport [Archived]BREXIT: As of 31 January 2020, the UK is...

10th Aug

Practice notes

Debt capital markets—United Kingdom—Q&A guide

Debt capital markets—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in United Kingdom...

10th Aug

Practice notes