Regulation of capital markets

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
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...
Read More >
Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Regulation of capital markets content

Practice notes
FCA suitability rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
11th Aug
Practice notes
Securities finance—Norway—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Norway published as part of...
Read More >
11th Aug
Practice notes
Recognised investment exchangesRecognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the...
Read More >
11th Aug
Practice notes
Access to CCPs, trading venues and benchmarks under MiFIRBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
11th Aug
Practice notes
MiFID II—microstructural issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
11th Aug
Practice notes
Securities finance—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in United Kingdom...
Read More >
11th Aug
Practice notes
Securities Financing Transactions Regulation (SFTR)—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
Read More >
11th Aug
Practice notes
Collateralised debt obligationsWhat is a CDO?Core conceptsCollateralised debt obligations (CDO) are complex, high-value transactions involving...
Read More >
11th Aug
Practice notes
Suspension and removal of financial instruments from tradingBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
11th Aug
Practice notes
Regulatory regime for credit rating agenciesIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK...
Read More >
11th Aug
Practice notes
Regulated Markets under MiFID II and MiFIRBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
11th Aug
Practice notes
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...
Read More >
11th Aug
Practice notes
The UK implementation of the Market Abuse RegulationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 11th Aug
Practice notes
Organised Trading Facilities (OTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
11th Aug
Practice notes
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...
Read More >
11th Aug
Practice notes
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,...
Read More >
10th Aug
Practice notes
The Prospectus Directive and the debt capital markets—approval of prospectuses and single passport [Archived]BREXIT: As of 31 January 2020, the UK is...
Read More >
10th Aug
Practice notes
Debt capital markets—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in United Kingdom...
Read More >
10th Aug
Practice notes
EU and UK regulation of insurance-linked securitiesIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
Read More >
10th Aug
Practice notes
Asset-backed commercial paper and associated structuresIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
Read More >
10th Aug

Popular documents