Regulation of derivatives trading venues

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Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
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
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
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
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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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
Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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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
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent Regulation of derivatives trading venues 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
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
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
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
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
Systematic internalisersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul
Practice notes
Recognised investment exchangesRecognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the...
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31st Jul
Practice notes
Organised Trading Facilities (OTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul

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