Regulation of derivatives

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Comment—modest fine for Credit Suisse belies significance of Swiss conviction

The following Corporate Crime news provides comprehensive and up to date legal information on Comment—modest fine for Credit Suisse belies significance of Swiss conviction

Enforcement of UK’s financial sanctions—strict liability and a stronger approach

The following Corporate Crime news provides comprehensive and up to date legal information on Enforcement of UK’s financial sanctions—strict liability and a stronger approach

Credit suisse ordered to pay US$21.6m for AML failings

The following Corporate Crime news provides comprehensive and up to date legal information on Credit suisse ordered to pay US$21.6m for AML failings

Concerns raised on implementing consumer duty rules by planned deadline

The following Financial Services news provides comprehensive and up to date legal information on Concerns raised on implementing consumer duty rules by planned deadline

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MiFID I—Transaction reporting

MiFID I—Transaction reportingThis Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in...

Financial Conduct Authority—powers

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Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...

FCA best execution rules

FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

Practice notes

Prudential Regulation Authority—Fundamental Rules

Prudential Regulation Authority—Fundamental RulesBackground to the Fundamental RulesPrior to the creation of the Financial Conduct Authority (FCA) and...

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Practice notes

The European Social Entrepreneurship Funds (EuSEF) Regulation

The European Social Entrepreneurship Funds (EuSEF) RegulationThe EuSEF regulatory frameworkThis Practice Note provides an overview of the European...

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Practice notes

Insurance conduct of business—cancellation rights and claims handling

Insurance conduct of business—cancellation rights and claims handlingImplementation of the Insurance: Conduct of Business Sourcebook (ICOBS)On 6...

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Practice notes

Financial Services Act 2012

Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....

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Practice notes

FCA inducements rules

FCA inducements rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

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Practice notes

Tied agents

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

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Practice notes

Consumer credit—essentials

Consumer credit—essentialsThe FCA consumer credit regimeOn 1 April 2014, the Financial Conduct Authority (FCA) assumed responsibility for consumer...

16th Nov

Practice notes

Overview of UK implementation of the Consumer Credit Directive

Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th Apr

Practice notes

Financial Services (Banking Reform) Act 2013—essentials

Financial Services (Banking Reform) Act 2013—essentialsThis Practice Note outlines the key changes to UK banking reform adopted through the Financial...

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Practice notes

USA—Insider trading

USA—Insider tradingThe restriction on insider tradingWhat is insider trading?Insider trading is usually associated with illegal conduct. However, the...

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Practice notes

Interaction between the PRA, FCA and FPC

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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Practice notes

Conduct Rules for SM&CR Firms

Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 16th Nov

Practice notes

Impact of Brexit: Insurance distribution—quick guide

Impact of Brexit: Insurance distribution—quick guideThis insurance distribution quick guide details current UK legislation and retained EU legislation...

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Brexit

Practice notes

Whistleblowing Directive—timeline

This Timeline outlines the key developments related to the proposed Directive on the protection of persons reporting breaches of Union law...

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Practice notes

Payment Systems Regulator—establishment, constitution and remit

Payment Systems Regulator—establishment, constitution and remitEstablishment of the PSRThe UK government commissioned in 1998 an independent review of...

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Practice notes

Prudential Regulation Authority—Proactive Intervention Framework

Prudential Regulation Authority—Proactive Intervention FrameworkBackgroundAs the prudential regulator for insurers, banks and also certain investment...

16th Nov