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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

Commercial paper and euro-commercial paper

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?

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?

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?

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 measures

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 Union

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 contents

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 guide

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 markets

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 London

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?

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?

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 package

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
tag iconCOVID-19
Practice notes

Securities finance—Monaco—Q&A guide

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 guide

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 standards

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 requirements

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 guide

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]

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 guide

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

Popular documents

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 Brexit transition/implementation period entered into following the UK’s withdrawal from the EU. Following IP completion day, key transitional arrangements

Skeleton arguments

Skeleton arguments

Skeleton argumentsThis Practice Note provides guidance on the interpretation and application of the relevant provisions of the CPR. Depending on the court in which your matter is proceeding, you may also need to be mindful of additional provisions—see further below.Note: this Practice Note does not

PRA Rulebook—introduction for the insurance and reinsurance sector

PRA Rulebook—introduction for the insurance and reinsurance sector

PRA Rulebook—introduction for the insurance and reinsurance sectorOn 29 August 2015, the Prudential Regulation Authority (PRA) published the PRA Rulebook (Rulebook). The transition from the Handbook to the Rulebook was intended to benefit PRA-authorised firms, to access clearer and more concise

False imprisonment

False imprisonment

False imprisonmentLiabilityFalse imprisonment consists of the complete deprivation of liberty without a lawful basis. Claims will in practice be made against a public body that exercises detention powers, usually a local police force, the Secretary of State for the Home Department or the Secretary