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Practice notes
Position reporting under MiFID IIBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Produced in partnership with Puesan Lam and Tony Katz of DLA Piper LLP 13th Sep
Practice notes
UK Market Abuse Regulation—insider dealingThis Practice Note provides an overview of the offence of insider dealing as prescribed by Retained...
13th Sep
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
13th Sep
Practice notes
Corporate Insolvency and Governance Act 2020 moratorium and restrictions on ipso facto clauses—financial services exemptions mapThis Practice Note...
13th Sep
Practice notes
EU and UK regulation of the debt capital markets—one minute guideThe principal regulations that govern the debt capital markets in (1) the EU and the...
13th Sep
Practice notes
Dealing in investmentsDealing as principal or as agentAuthorised persons can obtain permission to deal in investments as principal, or as agent for...
10th Sep
Practice notes
CRD IV/CRR remuneration requirements in the UKThis Practice Note discusses the UK rules on remuneration, including those that transposed the EU...
10th Sep
Practice notes
Public access to court documents and information in civil proceedingsThis Practice Note provides guidance on when the public may access documents on...
9th Sep
Practice notes
Privilege—loss or waiver of privilegeThis Practice Note looks at loss of privilege in civil litigation in the context of legal professional privilege...
9th Sep
Practice notes
Privilege—joint and common interest privilegeThis Practice Note considers the concepts of joint privilege (being joint retainer or joint interest...
9th Sep
Practice notes
Privilege rules around the worldWhen dealing with litigation in various different jurisdictions, the Getting The Deal Through Guide (GTDT) titled:...
9th Sep
Practice notes
Privilege—general principlesThis Practice Note considers the general principles, meaning and rationale behind privilege. It identifies the different...
9th Sep
Practice notes
Lexis®PSL Financial Services Enforcement DatabaseThe Lexis®PSL Financial Services Enforcement Database lists, and contains detailed information on,...
9th Sep
Practice notes
FCA authorisation of consumer credit firmsBackground to the FCA consumer credit authorisation regimeSince 1 April 2014 the UK Financial Conduct...
9th Sep
Practice notes
Insurance Distribution Directive (IDD)—scope, registration, passporting and sanctionsThe Directive (EU) 2016/97, Insurance Distribution Directive...
9th Sep
Practice notes
The UK investment firms prudential regime (IFPR)This Practice Note considers the new UK prudential framework for investment firms, known as the...
9th Sep
Practice notes
The EU banking package—CRD V, CRR II, BRRD II and SRMR IIA package of legislation intended to reduce risks in the EU banking sector, known as the...
9th Sep
Practice notes
Brexit legislation trackerThis Practice Note tracks the progress of UK legislation introduced as part of the legislative project associated with the...
9th Sep
Practice notes
Taking security over landCoronavirus (COVID-19): Transaction planning will need to take into account the impact of coronavirus (COVID-19) on execution...
9th Sep
Practice notes
The role of boilerplateThis Practice Note discusses the role and importance of the boilerplate clauses in an agreement. It identifies the boilerplate...
8th Sep

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