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UK Listing Review report

The following Corporate news provides comprehensive and up to date legal information on UK Listing Review report

Concurrent regulatory and civil proceedings—judicial review decision a reprieve for firms and senior managers?

The following Financial Services news provides comprehensive and up to date legal information on Concurrent regulatory and civil proceedings—judicial review decision a reprieve for firms and senior managers?

Financial Services weekly highlights—4 March 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—4 March 2021

SFO Unaoil probe a success despite exacting a heavy toll

The following Corporate Crime news provides comprehensive and up to date legal information on SFO Unaoil probe a success despite exacting a heavy toll

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...

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...

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...

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

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

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

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

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

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

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...

9th Nov

Brexit

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

Practice notes

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...

9th Nov

Most recent UK, EU and international regulators and bodies content

Practice notes

Financial Services Act 2012

The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013. The Act replaced the...

1st Mar

Practice notes

Bank for International Settlements

The work and foundations of BISThe Bank for International Settlements (BIS) assists central banks in relation to monetary and financial stability. Its...

1st Mar

Practice notes

Interaction between the PRA, FCA and FPC

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

Prudential Regulation Authority—supervisory approach—insurers

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

UK financial services regulatory structure diagram

The diagram below sets out the regulatory structure that exists in the UK for financial services, considering the roles of the Bank of England, the...

1st Mar

Practice notes

UK competition regulation

UK competition law regulates anti-competitive conduct, merger control and ensures markets are competitive.The Competition and Markets Authority (CMA)...

1st Mar

Practice notes

FCA—corporate governance

FCA and corporate governanceUnder the Financial Services and Markets Act 2000 (FSMA 2000) the FCA acquired responsibility for a broad and diverse...

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

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

Practice notes

UK sector regulation and the concurrency regime

A number of industry sectors in the UK have their own sector regulator—some of these sector regulators (but not all) also have concurrent competition...

21st Jan

Practice notes