Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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...
Brexit and financial services—the temporary permissions regime (TPR)This Practice Note considers the Financial Conduct Authority (FCA) and Prudential...
Equity derivatives—Norway—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Norway published as part of...
Regulation of indirect clearing of derivativesWhat is clearing of derivatives?Clearing is a process which eliminates the normal risk that a party to a...
Equity derivatives—Mexico—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Mexico published as part of...
Equity derivatives—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Switzerland published...
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...
MiFID II and MiFIR—market structureBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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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