Regulation of derivatives

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Brexit legislation tracker

This Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the UK’s withdrawal from the

General principles of insurance contract law

What is insurance law?Insurance law can be split into three parts:•insurance contract law which governs the contractual relationship between insureds

Disclosure requirements for occupational and personal pension schemes—the 2013 disclosure regulations

CORONAVIRUS (COVID-19) UPDATE: In light of the coronavirus pandemic, the Pensions Regulator (TPR) issued guidance setting out reporting easements

Insurance Distribution Directive (IDD)—organisational and conduct of business requirements

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

Practice notes

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...

21st Oct

In-house

Practice notes

Financial services outsourcing—post MiFID II implementation

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...

19th Oct

Practice notes

AIFMD—the marketing of AIFs, passporting and third country provisions

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...

5th Oct

Practice notes

Regulated activities relating to consumer credit

This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...

5th Oct

In-house

Practice notes

The regulation of crowdfunding platforms

This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...

5th Oct

Practice notes

Market Abuse Regulation (MAR)—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...

1st Oct

Practice notes

MLD4 and 2017 MLRs—customer due diligence checklist for financial services firms

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...

26th Sep

In-house

Practice notes

AIFMD—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...

26th Sep

Practice notes

Payment Services Regulations 2017—scope

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. For...

26th Sep

Practice notes

Regulated mortgage contracts and home finance transactions defined

Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...

25th Sep

Practice notes

Consumer credit: rules relating to arrears, default and recovery

Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...

25th Sep

Practice notes

MiFID II conduct of business and investor protection requirements

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

25th Sep

Practice notes

Regulated activities—exempt persons

In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...

25th Sep

Practice notes

Goode on Consumer Credit—materials

Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...

25th Sep

Practice notes

Exclusions applying to several specified kinds of activity

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...

25th Sep

Practice notes

Appointed representatives

This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...

25th Sep

Most recent Regulation of derivatives content

Practice notes

CRD IV Credit Valuation Adjustment

Definition of Credit Valuation AdjustmentAfter years of relative neglect, the concept of Credit Valuation Adjustment (CVA) is now at the forefront as...

25th Sep

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...

25th Sep

Brexit

Practice notes

EMIR—a timeline towards central clearing

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

25th Sep

Practice notes

MiFID II—commodities exemptions

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 guidance,...

25th Sep

Practice notes

An introduction to REMIT

Brexit impactThis Practice Note contains information on subjects impacted by the UK’s withdrawal from the EU at 11 pm on 31 January 2020 (exit day)....

25th Sep

Practice notes

MiFID II product governance requirements

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...

25th Sep

Practice notes

Systematic internalisers

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...

25th Sep

Practice notes

Multilateral Trading Facilities (MTFs)

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...

25th Sep

Practice notes

MiFID II and MiFIR—market structure

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...

25th Sep

Practice notes

Risk mitigation rules under EMIR

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

25th Sep

Practice notes

Organised Trading Facilities (OTFs)

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...

25th Sep

Practice notes

Capital Requirements Regulation—counterparty credit risk, credit valuation adjustment and disclosures on quality of capital

IntroductionThe financial crisis of 2007-2009 caused a spike in market volatility for which firms were ill-prepared. When the capital markets froze...

25th Sep

Practice notes

MiFIR—trading obligation for derivatives

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...

25th Sep

Practice notes

MiFID II—commodity derivatives—position limits

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 guidance,...

25th Sep

Practice notes