UK and EU FS regulation—one minute guides

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
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...
Read More >
9th Nov
Practice notes
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...
Read More >
9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
Read More >
Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
Practice notes
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...
Read More >
9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
Read More >
9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
Read More >
9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
Read More >
9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
Read More >
9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
Read More >
Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
Read More >
9th Nov
Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
Read More >
9th Nov
Practice notes
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...
Read More >
Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
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...
Read More >
Produced in partnership with Ms Elizabeth Budd of Pinsent Masons 12th Jan
Practice notes
Background to the Single RulebookHistorically, the European Commission (Commission) favours using Directives (rather than Regulations) to set out its...
Read More >
Produced in partnership with DLA Piper 12th Jan
Practice notes
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...
Read More >
9th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
Read More >
9th Nov

Most recent UK and EU FS regulation—one minute guides content

Practice notes
MLD4—key provisions for financial services firms—one minute guideBackground to MLD4The Fourth Money Laundering Directive (EU) 2015/849 (MLD4) was...
Read More >
13th May
Practice notes
Market Abuse Regulation (MAR)—one minute guideWhat is the objective of the EU Market Abuse Regulation and UK Market Abuse Regulation?The Market Abuse...
Read More >
13th May
Practice notes
What is EU EMIR?In 2009 the G20 pledged to undertake reforms aimed at increasing transparency and reducing systemic counterparty risk in the...
Read More >
28th Apr
Practice notes
This Practice Note provides high level information on Regulation (EU) 2017/2402 (OJ L 347, 28.12.2017, p. 35) (the EU Securitisation Regulation) and...
Read More >
26th Apr
Practice notes
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...
Read More >
16th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
15th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
8th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
8th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
8th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
8th Apr
Practice notes
This one minute guide provides a brief summary of the key regulatory requirements for collective investment schemes (CIS). For a more detailed...
Read More >
6th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
1st Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
Produced in partnership with Bill McCaffrey of CMS 1st Mar
Practice notes
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...
Read More >
1st Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
Read More >
Produced in partnership with Curtis McCluskey of Reed Smith LLP 1st Mar
Practice notes
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...
Read More >
1st Mar
Practice notes
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...
Read More >
1st Mar

Popular documents