Regulation of derivatives

View Financial Services by content type:

News

Practice notes

Precedents

Q&As

Latest Financial Services News

EU courts told to let Iranian companies use sanction blocking law

The following Corporate Crime news provides comprehensive and up to date legal information on EU courts told to let Iranian companies use sanction blocking law

FCA looks to challenge Amigo Loans’ restructuring plan

The following Banking & Finance news provides comprehensive and up to date legal information on FCA looks to challenge Amigo Loans’ restructuring plan

Financial Services weekly highlights—13 May 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—13 May 2021

SEC brought 75 crypto-related actions in 7.5 years

The following Banking & Finance news provides comprehensive and up to date legal information on SEC brought 75 crypto-related actions in 7.5 years

Featured Financial Services content

What is credit and what is a regulated consumer credit agreement?

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...

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...

MiFID I—Transaction reporting

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

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...

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

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

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

MLD4—key provisions for financial services firms—one minute guide

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

Recognised investment exchanges

Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...

9th Nov

In-house

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

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—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

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

Accepting deposits

This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...

9th Nov

Practice notes

Application of the FCA's COBS 4 rules

Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...

9th Nov

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

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

The Single Rulebook

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

Produced in partnership with DLA Piper 12th Jan

Practice notes

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...

9th Nov

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...

9th Nov

In-house

Most recent Regulation of derivatives content

Practice notes

Multilateral Trading Facilities (MTFs)

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

29th Apr

Practice notes

Organised Trading Facilities (OTFs)

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

29th Apr

Practice notes

Systematic internalisers

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

28th Apr

Practice notes

EMIR—one minute guide

What is EU EMIR?In 2009 the G20 pledged to undertake reforms aimed at increasing transparency and reducing systemic counterparty risk in the...

28th Apr

Practice notes

The impact of EMIR on funds

In each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as applicable, and significant...

28th Apr

Practice notes

Cleared derivatives—treatment of client collateral for leverage ratio purposes

What is clearing of derivatives?Clearing is a process which eliminates the normal risk that a party to a derivatives transaction will default.The main...

16th Apr

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...

15th Apr

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...

15th Apr

Practice notes

EMIR REFIT and EMIR 2.2 roadmap

Regulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019 and has effect from dates...

15th Apr

Practice notes

European Market Infrastructure Regulation (EMIR)—level 2 and level 3 measures

This Practice Note the delegated acts, implementing decisions and guidelines adopted under the European Market Infrastructure Regulation (EU)...

9th Apr

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 had entered an implementation period during which it...

Produced in partnership with White & Case 8th Apr

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 8th Apr

In-house

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...

8th Apr

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...

8th Apr

Practice notes

US regulation of derivatives—one minute guide

BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...

8th Apr

Practice notes

Equity derivatives—United Kingdom—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in United Kingdom published as part of the Lexology Getting the...

8th Apr

Practice notes

Regulated Markets under MiFID II and MiFIR

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

8th Apr

Practice notes

Equity derivatives—Spain—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Spain published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Equity derivatives—Norway—Q&A guide

This Practice Note contains a jurisdiction-specific Q&A guide to equity derivatives in Norway published as part of the Lexology Getting the Deal...

8th Apr

Practice notes

Access to CCPs, trading venues and benchmarks under MiFIR

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

8th Apr

First
1
2
3
Last

Regulation of derivatives

View Financial Services by content type:

Latest Financial Services News

EU courts told to let Iranian companies use sanction blocking law

FCA looks to challenge Amigo Loans’ restructuring plan

Financial Services weekly highlights—13 May 2021

SEC brought 75 crypto-related actions in 7.5 years

Featured Financial Services content

What is credit and what is a regulated consumer credit agreement?

Impact of Brexit: Solvency II—quick guide

MiFID I—Transaction reporting

The impact of Brexit on the MiFID II regime

Most recent Regulation of derivatives content

Popular documents

PRA Rulebook—introduction for the insurance and reinsurance sector

Rescission of a contract

Constructive trusts

Forum non conveniens—scope and application

Contact Us

Popular Links

Policies

Follow us