High level guides to key legal concepts for in-house lawyers

This overview is a guide to the Banking & Finance content within the High-level guides to key legal concepts for in-house lawyers subtopic, with links to appropriate materials. It is written for banking and finance lawyers working in banks and other financial institutions.

High-level guides

The series of 'high level guides' Practice Notes are intended to give in-house lawyers working on banking and finance transactions an overview of a particular legal issue or concept and why it could be relevant for them in performing their in-house role. They describe the key legal principles and/or legislation in each case, then highlight practical examples of when related issues can arise when working on banking and finance transactions in-house. The Practice Notes each provide practical tips for dealing with these issues if they arise along with, where relevant, information about where an in-house lawyer can go within Lexis®PSL to find out more information and keep up-to-date with development in relation to that particular concept.

The following Practice Notes are included in the series:

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Introduction to the UK AML/CTF legal and regulatory framework for financial services

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Latest Banking & Finance News

Sustainable finance and ESG weekly round–up—21 November 2024

This week's edition of the Sustainable finance and ESG weekly round-up from the Finance Group includes: (1) ICC issues guidance on successful Carbon Pricing, (2) COP29 round up, and (3) ESAs issue ‘Fit-For-55’ climate scenario analysis results.

Banking and Finance weekly highlights—21 November 2024

This week's edition of Banking and Finance weekly highlights includes: (1) the decision in Kireeva v Bedzhamov where the Supreme Court has unanimously dismissed Ms Kireeva’s (Russian bankruptcy trustee’s) appeal to overturn the Court of Appeal’s’ decision; (2) HMLR announces changes to addresses for business customers; and (3) HMT consults on the case for a UK Green Taxonomy.

IOSCO issues consultation report on pre-hedging practices and regulatory recommendations

The International Organization of Securities Commissions (IOSCO) has published a consultation report on pre-hedging practices, seeking feedback on its proposed definition and recommendations, to guide regulators in determining acceptable practices and managing associated conduct risks. Additionally, IOSCO requests feedback on whether the recommendations need to be adapted to specific circumstances, such as potential differences in pre-hedging practices and internal non-electronic transactions, as well as in the context of electronic trading, including competitive requests for quotes (RFQs). Responses are sought by 21 February 2025.

BCBS reaffirms expectation of implementing Basel III and advances banking supervision initiatives

The Basel Committee on Banking Supervision (BCBS) met in Basel on 19–20 November 2024 and unanimously reaffirmed its expectation of implementing all aspects of the Basel III framework in full, consistently and expeditiously. Such a commitment was also recently reiterated by G20 Finance Ministers and Central Bank Governors.

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