Regulation of derivatives

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MP vows to keep pushing tougher economic crime law

The following Corporate Crime news provides comprehensive and up to date legal information on MP vows to keep pushing tougher economic crime law

Retained EU law—a guide for the perplexed

The following Banking & Finance news provides comprehensive and up to date legal information on Retained EU law—a guide for the perplexed

Brexit SI Bulletin—latest drafts and sifting committee reports, 15 January 2021

The following Financial Services news provides comprehensive and up to date legal information on Brexit SI Bulletin—latest drafts and sifting committee reports, 15 January 2021

Comment—Brexit finance equivalence still achievable as eyes turn to administrative co-operation

The following Banking & Finance news provides comprehensive and up to date legal information on Comment—Brexit finance equivalence still achievable as eyes turn to administrative co-operation

Featured Financial Services content

The Money Laundering Reporting Officer (MLRO)—duties

The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...

What is electronic money?

BREXIT: UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For further...

Insurance conduct regulation—COBS and ICOBS

The Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of business by a regulated firm relevant to...

The Single Rulebook

Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...

Practice notes

Non-UCITS retail schemes (NURS)

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan

Practice notes

Regulatory capital—purpose, quantity and quality

Brexit; As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

Produced in partnership with Morrison & Foerster LLP 12th Jan

Practice notes

Public censure by the FCA

Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...

9th Nov

Practice notes

Basel Accord

The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...

Produced in partnership with Morrison & Foerster LLP 12th Jan

Practice notes

Financial Conduct Authority—objectives and principles

The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...

9th Nov

Practice notes

Consumer protection—FCA and other regulatory requirements

This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...

9th Nov

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...

9th Nov

Practice notes

Fair and Effective Markets Review (FEMR)—one minute guide

On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...

9th Nov

Practice notes

European Venture Capital Funds (EuVECA) Regulation

BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

9th Nov

Practice notes

Entering into a consumer hire agreement as owner

BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...

9th Nov

Practice notes

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...

9th Nov

Practice notes

Debt sale and purchase agreements

The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...

9th Nov

In-house

Practice notes

Second Wire Transfer Regulation (WTR2)—essentials

Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...

9th Nov

Practice notes

The impact of Brexit on the MiFID II regime

This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...

9th Nov

Brexit

Practice notes

MiFID I—Transaction reporting

This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...

9th Nov

Practice notes

Impact of Brexit: Solvency II—quick guide

This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...

9th Nov

Brexit

Most recent Regulation of derivatives content

Practice notes

Financial Services News Analysis—Brexit toolkit

DateNews AnalysisBrief description of News Analysis13 January 2021How will Brexit hinder law enforcers? Let us count the waysLaw360, London: The EU-UK...

15th Jan

Brexit

Practice notes

Impact of Brexit: EMIR—quick guide

This quick guide details current UK legislation and retained EU legislation that has been amended and/or revoked by:•the Over the Counter Derivatives,...

15th Jan

Brexit

Practice notes

European regulation of structured products and securitisation—one minute guide

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

15th Jan

Practice notes

An introduction to REMIT

Brexit impactAs of 31 January 2020 (exit day), the UK is no longer an EU Member State, but it has entered an implementation period during which it...

Produced in partnership with White & Case 14th Jan

Practice notes

ISDA—latest news on documentation

This Practice Note contains a summary of new and updated documents published by the International Swaps and Derivatives Association (ISDA). It is...

14th Jan

Practice notes

Brexit and financial services—the temporary permissions regime (TPR)

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

13th Jan

Brexit

Practice notes

European regulation of derivatives—one minute guide

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

What are credit derivatives?

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

Energy derivatives

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

Commodity derivatives

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

EU regulation of CCPs

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

Clearing obligations: central clearing process and the role of clearing houses

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

Produced in partnership with Chrys Carey of Morrison & Foerster and Peter Green of Morrison & Foerster 12th Jan

Practice notes

Margin for non-cleared derivatives—industry initiatives

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

12th Jan

Practice notes

ISDA's EMIR protocols

IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...

Produced in partnership with Allan Yip of Simmons & Simmons 12th Jan

In-house

Practice notes

Financial Services News—Brexit toolkit

Financial Services Brexit newsDateNews alert8 January 2021EIOPA confirms MoUs with PRA, FCA and the Pensions Regulator—LNB News 08/01/2021 281 January...

11th Jan

Brexit

Practice notes

Quick Look Brexit Financial Services Legislation Status Guide—EMIR

This Quick Look Brexit Financial Services Legislation Status Guide provides high level information on the status of the European Market Infrastructure...

8th Jan

Brexit

Practice notes

Position reporting under MiFID II

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Puesan Lam and Tony Katz of DLA Piper LLP 8th Jan

Practice notes

MiFID II—commodities exemptions

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Puesan Lam and Tony Katz of DLA Piper LLP 8th Jan

Practice notes

Regulatory capital—purpose, quantity and quality

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Morrison & Foerster LLP 8th Jan

Practice notes

The EU Short Selling regulation

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Orrick, Herrington & Sutcliffe (Europe) LLP 8th Jan