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Financial Services weekly highlights—21 January 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—21 January 2021

Investment protection under the EU-UK Trade and Cooperation Agreement—is it a Canada-style deal?

The following Arbitration news provides comprehensive and up to date legal information on Investment protection under the EU-UK Trade and Cooperation Agreement—is it a Canada-style deal?

Law must change to go after companies allowing financial crime, MPs urge

The following Corporate Crime news provides comprehensive and up to date legal information on Law must change to go after companies allowing financial crime, MPs urge

What does Brexit mean for dispute resolution in England and Wales?

The following Banking & Finance news provides comprehensive and up to date legal information on What does Brexit mean for dispute resolution in England and Wales?

Featured Financial Services content

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...

What is electronic money?

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...

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...

The Single Rulebook

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

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

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

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

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

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

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

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—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

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

European Venture Capital Funds (EuVECA) Regulation

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

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

Authorised unit trust authorisation and winding-up

Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...

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

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

MiFID I—Transaction reporting

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

9th Nov

Practice notes

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...

9th Nov

Brexit

Most recent Sustainable finance content

Practice notes

Global, EU and UK sustainable finance initiatives

In response to the Paris Agreement, governments and intra-governmental organisations launched a number of measures to promote sustainable finance. To...

Produced in partnership with Kathryn Emmett, Rosa Mottershead, Rob Marsh, Andrew Hedges, Imogen Garner and Cara Dowling of Norton Rose Fulbright 21st Jan

Practice notes

The EU Disclosure Regulation—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...

Produced in partnership with Lora Froud of Macfarlanes and Tiffany Cox of Macfarlanes 19th Jan

Practice notes

Mandatory environmental reporting

Companies operating in the UK may be required to report on environmental matters in accordance with:•the Companies Act 2006 (CA 2006)•accounting...

Produced in partnership with Ardea International 19th Jan

Practice notes

Environmental social governance—the investment market

Brexit impact11 pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal...

Produced in partnership with Tim Clare of Anthesis 19th Jan

Practice notes

Sustainable finance and ESG—key global principles for financial institutions

Global sustainable finance and ESG initiatives for financial institutionsThis Practice Note covers some of the key environmental, social and...

Produced in partnership with Dianne Bell of Freelance 18th Jan

Practice notes

The EU Taxonomy Regulation—one-minute guide

This one minute guide, written in partnership with Philippa List, professional support lawyer, and Mikhaelle Schiappacasse, partner at Dechert,...

Produced in partnership with Philippa List of Dechert and Mikhaelle Schiappacasse of Dechert 17th Jan

Practice notes

Voluntary environmental, social and corporate governance (ESG) reporting

Brexit impact11 pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s withdrawal...

Produced in partnership with CLT Envirolaw 15th Jan

Practice notes