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
Debt capital markets—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Switzerland...
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30th Jul
Practice notes
Debt capital markets—Malta—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Malta published as part...
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30th Jul
Practice notes
Debt capital markets—Thailand—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Thailand published as...
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30th Jul
Practice notes
Green bondsGreen bonds are a natural source of financing for issuers who have a financing or refinancing requirement for a green project. There does...
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Produced in partnership with Jacqueline Heng of Norton Rose Fulbright 30th Jul
Practice notes
Debt capital markets—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Sweden published as part...
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30th Jul
Practice notes
Debt capital markets—Ireland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Ireland published as...
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30th Jul
Practice notes
Debt capital markets—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Greece published as part...
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30th Jul
Practice notes
Debt capital markets—Turkey—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Turkey published as part...
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30th Jul
Practice notes
Debt capital markets—Portugal—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Portugal published as...
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30th Jul
Practice notes
Debt capital markets—Germany—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Germany published as...
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30th Jul
Practice notes
Sustainable securitisationsIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
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Produced in partnership with Mindy Hauman of White & Case, Chris McGarry of White & Case and Debashis Dey of White & Case 30th Jul
Practice notes
The Prospectus Directive and the debt capital markets—is a prospectus required? [Archived]BREXIT: As of 31 January 2020, the UK is no longer an EU...
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30th Jul
Practice notes
Debt capital markets—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in USA published as part of...
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30th Jul
Practice notes
The Prospectus Directive and the debt capital markets—prospectus format and contents [Archived]BREXIT: As of 31 January 2020, the UK is no longer an...
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30th Jul
Practice notes
Securitisation Regulation—one minute guideThis Practice Note provides high level information on Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p....
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30th Jul
Practice notes
Debt capital markets—Netherlands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Netherlands...
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30th Jul
Practice notes
Debt capital markets—Spain—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Spain published as part...
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30th Jul
Practice notes
Debt capital markets—Luxembourg—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to debt capital markets in Luxembourg published...
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30th Jul
Practice notes
Since 2007, the Markets in Financial Instruments Directive (MiFID) had increased competition and innovation, leading to better services...
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25th Sep

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