Financial Services regulation—getting started

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Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the...
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19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
FCA—training and competenceBREXIT: 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
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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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
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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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
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
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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19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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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 Financial Services regulation—getting started content

Practice notes
The Prospectus Regulation—level 2 and level 3 measures and other resourcesIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the...
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30th Jul
Practice notes
European regulation of the debt capital markets—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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30th Jul
Practice notes
Securitisation Regulation—essentialsThis Practice Note provides information on the Securitisation Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p....
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30th Jul
Practice notes
European regulation of derivatives—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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30th Jul
Practice notes
Developments of the Prospectus Directive (2015–2017)—timelineThis timeline tracks the developments of the Prospectus Directive from 2015 to the...
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30th Jul
Practice notes
Securitisation Regulation—one minute guideThis Practice Note provides high level information on Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p....
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30th Jul
Practice notes
European regulation of structured products and securitisation—one minute guideIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the...
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30th Jul
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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29th Jul
Practice notes
Benchmarks Regulation—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as...
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28th Jul
Practice notes
MLD5—key provisions for financial services firms—one minute guideAdoption of MLD5 and implementation in the UKThe Fifth Money Laundering Directive...
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23rd Jul
Practice notes
MLD4—key provisions for financial services firms—one minute guideBackground to MLD4The Fourth Money Laundering Directive (EU) 2015/849 (MLD4) was...
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23rd Jul
Practice notes
EMIR—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation, as applicable, and...
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22nd Jul
Practice notes
SM&CR—policy development and key datesOn 7 March 2016, the Senior Managers and Certification Regime (SM&CR) replaced the Approved Persons Regime (APR)...
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22nd Jul
Practice notes
Market Abuse Regulation (MAR)—essentialsIn each section of this Practice Note, links are given to the relevant provisions of EU and/or UK legislation,...
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21st Jul
Practice notes
Key dates for Financial Services—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates for financial...
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20th Jul
Practice notes
Prudential requirements—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to prudential...
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20th Jul
Practice notes
Sustainable finance—horizon scannerThis Practice Note contains a comprehensive list of key future developments and dates related to sustainable...
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20th Jul
Practice notes
CRD IV—essentialsThis Practice Note introduces key concepts in the EU’s package of prudential measures, the Capital Requirements Directive IV...
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19th Jul
Practice notes
The Capital Markets Union—recent news2021 News DateNews story15 July 2021Commission staff working document: ‘Monitoring progress towards a capital...
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19th Jul
Practice notes
Bank Recovery and Resolution Directive (BRRD)—technical standards and guidelinesThe Bank Recovery and Resolution Directive 2014/59/EU (BRRD)...
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Produced in partnership with DLA Piper 13th Jul

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