Regulation of derivatives

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Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
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OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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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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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
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
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
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Regulation of derivatives content

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...
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31st Jul
Practice notes
CRD IV—essentialsThis Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV...
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31st Jul
Practice notes
Brexit and financial services—the temporary permissions regime (TPR)This Practice Note considers the Financial Conduct Authority (FCA) and Prudential...
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31st Jul
Practice notes
The regulation of equity derivativesWhat is an equity derivative?An equity derivative is a financial instrument that references and offers economic...
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31st Jul
Practice notes
Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Equity derivatives—Norway—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Norway published as part of...
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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
Regulation of indirect clearing of derivativesWhat is clearing of derivatives?Clearing is a process which eliminates the normal risk that a party to a...
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31st Jul
Practice notes
Regulated Markets under MiFID II and MiFIRBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Equity derivatives—Mexico—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Mexico published as part of...
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31st Jul
Practice notes
Equity derivatives—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in United Kingdom...
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31st Jul
Practice notes
Equity derivatives—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Switzerland published...
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31st Jul
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...
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31st Jul
Practice notes
Brexit—Financial Services—Statutory Instruments (SI) trackerThis tracker lists all Brexit-related financial services statutory instruments (SIs),...
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31st Jul
Practice notes
MiFIR—trading obligation for derivativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes
Equity derivatives—Spain—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Spain published as part of...
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31st Jul
Practice notes
Equity derivatives—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Japan published as part of...
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31st Jul
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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31st Jul
Practice notes
MiFID II and MiFIR—market structureBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
Practice notes
Position reporting under MiFID IIBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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Produced in partnership with Puesan Lam and Tony Katz of DLA Piper LLP 31st Jul

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