EU regulators—financial services

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Sec brought 75 crypto-related actions in 7.5 years

The following Banking & Finance news provides comprehensive and up to date legal information on Sec brought 75 crypto-related actions in 7.5 years

EU green bond, consumer credit, money laundering plans to be published in summer 2021

The following Banking & Finance news provides comprehensive and up to date legal information on EU green bond, consumer credit, money laundering plans to be published in summer 2021

Financial and trade sanctions—tracking UK-EU divergence

The following Banking & Finance news provides comprehensive and up to date legal information on Financial and trade sanctions—tracking UK-EU divergence

1MDB sues Deutsche Bank and others for $US 23bn over scandal

The following Dispute Resolution news provides comprehensive and up to date legal information on 1MDB sues Deutsche Bank and others for $US 23bn over scandal

Featured Financial Services content

What is credit and what is a regulated consumer credit agreement?

Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...

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...

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...

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...

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

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

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

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

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

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 EU regulators—financial services content

Practice notes

European Insurance and Occupational Pensions Authority (EIOPA)

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Orrick, Herrington & Sutcliffe 28th Apr

Practice notes

Appealing against a European Supervisory Authority decision—one minute guide

Introduction to bringing an appeal against an ESA decisionThe three European Supervisory Authorities (ESAs)—the European Securities and Markets...

8th Apr

Practice notes

Relationship between UK regulators and European Supervisory Authorities

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

30th Mar

Practice notes

Guide to the European Securities and Markets Authority (ESMA)

This Practice Note focuses on the membership, role and processes of the European Securities and Markets Authority (ESMA). ESMA is an independent...

10th Mar

Practice notes

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

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Orrick, Herrington & Sutcliffe 5th Mar

Practice notes

The European Systemic Risk Board

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

The European Central Bank

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

European System of Financial Supervision

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

1st Mar

Practice notes

The application of EU legislation to non-EU EEA states

BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...

Produced in partnership with Maclay Murray & Spens LLP 26th Feb

EU regulators—financial services

View Financial Services by content type:

Latest Financial Services News

Sec brought 75 crypto-related actions in 7.5 years

EU green bond, consumer credit, money laundering plans to be published in summer 2021

Financial and trade sanctions—tracking UK-EU divergence

1MDB sues Deutsche Bank and others for $US 23bn over scandal

Featured Financial Services content

What is credit and what is a regulated consumer credit agreement?

Impact of Brexit: Solvency II—quick guide

The impact of Brexit on the MiFID II regime

Second Wire Transfer Regulation (WTR2)—essentials

Most recent EU regulators—financial services content

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