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
Commercial paper and euro-commercial paperCoronavirus (COVID-19): ICMA has made generally available to non-ICMA members the ECP materials from its...
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10th Aug
Q&As
I act for a small company which is having trouble obtaining bank finance—would an issue of mini-bonds be a viable alternative?IP COMPLETION DAY: 11pm...
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10th Aug
Q&As
Is there any guidance on the aggregation principle in relation to the €5m prospectus exemption?As set out in our Practice Note: The Prospectus...
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10th Aug
Q&As
Why is there a Main Market and a Professional Securities Market on the London Stock Exchange?IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks...
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10th Aug
Practice notes
The Prospectus Regulation—level 2 and level 3 measuresProspectus Regulation—Level 2 measuresThe tables below lists Commission Delegated Regulations...
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3rd Aug
Practice notes
The Capital Markets UnionIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
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3rd Aug
Practice notes
The Prospectus Regulation—prospectus format and contentsIn this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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3rd Aug
Practice notes
European regulation of structured products and securitisation—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the...
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3rd Aug
Practice notes
SMEs and the debt capital marketsIntroductionTraditional debt capital marketsThe debt capital markets have traditionally been used by major companies...
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3rd Aug
Practice notes
Listing debt securities in LondonLondon Stock Exchange market structureThe London Stock Exchange (LSE) has three principal markets for listing debt...
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3rd Aug
Q&As
What are the main requirements for a premium or standard listing on the main market of the London Stock Exchange?The UK listing regime has two listing...
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1st Aug
Q&As
What are the main requirements for a secondary listing on the main market of the London Stock Exchange?A secondary listing is only available to UK...
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1st Aug
Practice notes
Coronavirus (COVID-19)—EU capital markets recovery packageThis Practice Note summarises the new capital markets recovery package of measures proposed...
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31st Jul
Practice notes
Securities finance—Monaco—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Monaco published as part of...
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31st Jul
Practice notes
Securities finance—Qatar—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Qatar published as part of...
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31st Jul
Practice notes
Credit rating agencies—international standardsIOSCO standardsFor general information on the International Organization of Securities Commissions...
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31st Jul
Practice notes
MiFID II product governance requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Securities finance—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in Japan published as part of...
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31st Jul
Practice notes
Securities finance—Austria—Q&A guide [Archived]ARCHIVED: This Practice Note has been archived and is not maintained.This Practice Note contains a...
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31st Jul
Practice notes
Securities finance—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to securities finance in USA published as part of the...
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31st Jul

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