What does this Practice Note cover?

This Practice Note explains:

1. •

   what is meant by financial services regulation

2. •

   when transactional banking lawyers need to think about regulatory issues

3. •

   where to find relevant law and regulation, including information on the financial services regulatory framework in the UK and EU, and

4. •

   the key routine regulatory issues on lending, derivatives, structured finance and debt capital markets transactions

This Practice Note is intended as an introductory guide to financial regulation for transactional banking lawyers working in non-regulatory roles. It provides context and practical guidance on when regulatory issues may be relevant to different types of banking transaction and how to start your research. For in-depth information on any individual regulatory topic, please refer to our Financial Services module.

A good place to start is the Lexis®+ Financial Services—getting started guide.

Key terms glossary

An extensive list of terms and what they mean from a UK regulatory perspective can be found in the FCA handbook glossary, though it should