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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

FCA to review regulatory extension scheme after Greensill

The following Financial Services news provides comprehensive and up to date legal information on FCA to review regulatory extension scheme after Greensill

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

Featured Financial Services content

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...

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...

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...

Practice notes

UCITS VI

UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...

Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan

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

Fair and Effective Markets Review (FEMR)—one minute guide

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...

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

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

Public censure by the FCA

Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...

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

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...

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 UK, EU and international regulators and bodies content

Practice notes

Appealing against a European Supervisory Authority decision—one minute guide

Appealing against a European Supervisory Authority decision—one minute guideIntroduction to bringing an appeal against an ESA decisionThe three...

15th May

Practice notes

FCA supervisory approach

FCA supervisory approachBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

15th May

Practice notes

Prudential Regulation Authority—supervisory approach—deposit-takers

Prudential Regulation Authority—supervisory approach—deposit-takersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

15th May

Practice notes

Prudential Regulation Authority—powers

Prudential Regulation Authority—powersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Speechly Bircham 15th May

Practice notes

Financial Action Task Force (FATF)

Financial Action Task Force (FATF)This Practice Note introduces the Financial Action Task Force (FATF) and its work in relation to setting standards...

15th May

Practice notes

The European Systemic Risk Board

The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

15th May

Practice notes

Consumer protection—FCA and other regulatory requirements

Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

15th May

Practice notes

The application of EU legislation to non-EU EEA states

The application of EU legislation to non-EU EEA statesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Produced in partnership with Maclay Murray & Spens LLP 15th May

Practice notes

The European Central Bank

The European Central BankBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

15th May

Practice notes

Prudential Regulation Authority—objectives and principles

Prudential Regulation Authority—objectives and principlesScope of PRA regulationWhile Prudential Regulation Authority (PRA)-regulated firms are...

Produced in partnership with Speechly Bircham 15th May

Practice notes

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...

15th May

Practice notes

FSA consultation paper tracker

FSA consultation paper trackerBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...

15th May

Practice notes

Reports by skilled persons

Reports by skilled personsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...

Produced in partnership with Sophie Walden of Linklaters 15th May

Practice notes

Payment Systems Regulator—supervisory approach

Payment Systems Regulator—supervisory approachThe Payment Systems Regulator (PSR) consulted on its approach to supervising payment systems in a...

Produced in partnership with Sidley Austin 15th May

Practice notes

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...

Produced in partnership with Orrick, Herrington & Sutcliffe 15th May

Practice notes

Prudential Regulation Authority—structure, constitution, functions and duties

Prudential Regulation Authority—structure, constitution, functions and dutiesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...

Produced in partnership with Speechly Bircham 15th May

Practice notes