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Law360, Expert analysis: Following its April 2024 consultation, the Financial Conduct Authority (FCA) made changes to its financial crime guide, or...
The House of Commons Treasury Committee has published correspondence with the Financial Conduct Authority (FCA), consisting of a letter from Dame Meg...
The International Association of Insurance Supervisors (IAIS) has published its roadmap for 2025-2026,marking the first under its new Strategic Plan...
The Financial Conduct Authority (FCA) has published a report in response to the Department for Environment, Food and Rural Affairs’ (DEFRA) invitation...
The Foreign, Commonwealth & Development Office (FCDO) has announced a new wave of sanctions against Belarus in response to the recent sham...
Introduction to the EU AML/CTF legal and regulatory framework for financial servicesThis Practice Note provides an overview of the European Union’s...
The EU Taxonomy Regulation—essentialsThis Practice Note analyses the scope and impact of the EU Taxonomy Regulation (Regulation (EU) 2020/852), and...
EU MiFID II—microstructural issuesThis Practice Note details the requirements introduced by the recast Markets in Financial Instruments Directive...
EU developments and influences in corporate governanceThe 2003 EU corporate governance action planIn 2003 the European Commission (Commission)...
EU regulation of payment services—essentialsScope of this Practice NoteThis Practice Note provides an overview, and highlights the key provisions, of...
Limited partnership agreement—private fund limited partnershipThis limited partnership Agreement is made on [insert day and month] 20 [insert...
Environmental Targets for a Limited Partnership Agreement (Stella & Flora’s Clause) (The Chancery Lane Project)Additional/Amended Recital:[Name of...
Retained EU law—training materials [Archived]ARCHIVED: This Precedent has been archived and is not maintained.These training materials consist of...
Model discretionary investment management agreementThe model discretionary investment management agreement can be found on the Investment...
Specimen Dealing CodeThis Precedent is a memorandum that sets out the details of the ‘specimen’ dealing code. The specimen dealing code is the product...
The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
Accepting depositsBackground to the regulated activity of accepting depositsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
What is electronic money?BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Fund management—Cayman Islands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to fund management in Cayman Islands published...
Insurance conduct regulation—COBS and ICOBSBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, new rules on NURS...
Complying with the collective investment schemes sourcebook (COLL)The Financial Conduct Authority’s Collective Investment Schemes Sourcebook (COLL) is...
Different types of short sellingShort selling: the two key typesRegulation (EU) 236/2012 (OJ L 86/1) (the EU Short Selling Regulation) came into force...
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Regulated activities relating to dormant assetsBackground to regulated activities relating to handling dormant assetsUnder section 19 of the Financial...
UK regulation of payment services providers—essentialsScope of this Practice NoteThe Payment Services Regulations 2017, SI 2017/752 (PSRs 2017)...
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
Complaints handling by financial services firmsCORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints...
Funds which use common features from both closed-ended funds and open-ended funds may also have a lock-in period.
An acquisition of a business, unlisted company or assets where any percentage ratio is 100% or more or which would result in a fundamental change in the business or in a change in the board or voting control of the listed company.
Rules made by the SRA which apply when exempt professional firms carry on exempt regulated activities and authorised professional firms carry on non-mainstream regulated activities.