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EU regulators—financial services

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Latest Financial Services News

End of insolvency temporary provisions—introduction of new temporary provisions

End of insolvency temporary provisions—introduction of new temporary provisions

The following Banking & Finance news provides comprehensive and up to date legal information on End of insolvency temporary provisions—introduction of new temporary provisions

Financial Services weekly highlights—16 September 2021

Financial Services weekly highlights—16 September 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—16 September 2021

NatWest’s UK money laundering court case delayed once again

NatWest’s UK money laundering court case delayed once again

The following Corporate Crime news provides comprehensive and up to date legal information on NatWest’s UK money laundering court case delayed once again

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

The following Arbitration news provides comprehensive and up to date legal information on Coronavirus (COVID-19) BI update—denial of access—access granted? (Policyholders v China Taiping)

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

What is electronic money?

What is electronic money?

What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...

European Insurance and Occupational Pensions Authority (EIOPA)

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...

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...
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19th May
Practice notes

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001

Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes

Interaction between the PRA, FCA and FPC

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

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

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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19th May
Practice notes

Overview of UK implementation of the Consumer Credit Directive

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

FCA client money rules

FCA client money 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

What are regulated activities?

What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes

FCA client classification requirements

FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

SM&CR—Statements of Responsibility (SoRs)

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

EMIR REFIT and EMIR 2.2 roadmap

EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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19th 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...
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19th May
Practice notes

The Financial Services Compensation Scheme

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

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensation

Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes

The Single Rulebook

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

Unregulated collective investment schemes—essentials

Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes

Responsible lending requirements—CONC 5

Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent EU regulators—financial services content

Practice notes

The European Central Bank

The European Central BankThe European Central Bank (ECB) represents the core institution for the Eurosystem and the European System of Central Banks...
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16th Aug
Practice notes

Relationship between UK regulators and European Supervisory Authorities

Relationship between UK regulators and European Supervisory AuthoritiesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of...
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11th Aug
Practice notes

European supra-national bodies—how policy ideas are translated into national legislative initiatives

European supra-national bodies—how policy ideas are translated into national legislative initiatives BREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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Produced in partnership with Orrick, Herrington & Sutcliffe 31st Jul
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...
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31st Jul
Practice notes

European Insurance and Occupational Pensions Authority (EIOPA)

European Insurance and Occupational Pensions Authority (EIOPA)What does EIOPA do? The European Insurance and Occupational Pensions Authority (EIOPA)...
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31st Jul
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...
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Produced in partnership with Maclay Murray & Spens LLP 31st Jul
Practice notes

European System of Financial Supervision

European System of Financial SupervisionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
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...
Read More >
31st Jul
Practice notes

Guide to the European Securities and Markets Authority (ESMA)

Guide to the European Securities and Markets Authority (ESMA)This Practice Note focuses on the membership, role and processes of the European...
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30th Jul

Popular documents

Breach of statutory duty

Breach of statutory duty

Breach of statutory dutyThis Practice Note considers claims for damages for breach of statutory duty. For guidance on claims for damages for a negligent breach of duty of care outside a statutory duty, see Practice Notes:•Negligence—when does a duty of care arise?•Negligence—when is the duty of care

Direct effect of EU law

Direct effect of EU law

Direct effect of EU lawWhat is direct effect of EU law?The doctrine of direct effect is a fundamental principle of EU law developed by the Court of Justice of the European Union in Van Gend en Loos. It is a mechanism through which individuals can enforce rights in Member States’ courts, based on EU

Common law offence of false imprisonment

Common law offence of false imprisonment

Common law offence of false imprisonmentThe offence of false imprisonmentFalse imprisonment is a common law offence but it is more common as a civil action in tort (see Practice Note: False imprisonment).It is triable only on indictment. It may be classified in class 2A, 2B or 3 in accordance with

Involuntary manslaughter

Involuntary manslaughter

Involuntary manslaughterInvoluntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter consists of those killings which would be murder (because the accused has the relevant mental element—hence the label voluntary manslaughter) but