Financial Services Law

It’s the known unknowns and the unknown unknowns that make Financial Services such a fascinating and challenging area of law. Advising clients in the here and now, or helping them plan ahead, how are you sure you haven’t missed something?

LexisPSL Financial Services helps you find the authoritative answer fast, even if you’re in unfamiliar territory.

Clear, concise practice notes, checklists, timelines, precedents and charts give you just what you need to know – with links to sources like the FSA Handbook, the Journal of International Banking & Financial Law, and Butterworths Financial Regulation Service, as well as legislation and key websites for the fuller picture. And, importantly, news alerts and analysis to help you stay that step ahead.

Whatever’s on the horizon, you can get up-to-speed in a matter of minutes.

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Featured Financial Services content

Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
Practice notes
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...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
Practice notes
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...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Financial Services content

Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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29th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Austria; Belgium; Brazil; Canada; Chile; China; Colombia;...
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29th Jan
Practice notes
This page collects together Financial Services content that addresses matters of EU law.For information on EU law generally, see EU structure, EU...
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29th Jan
Practice notes
This Practice Note primarily addresses the UK data protection laws where a processor will process personal data on behalf of a controller in a...
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29th Jan
Practice notes
On 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK, equivalent EEA data...
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Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 29th Jan
Practice notes
On 31 January 2020, the UK ceased to be a member of the EU and EEA. This Practice Note introduces:•the General Data Protection Regulation, Regulation...
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29th Jan
Practice notes
This Practice Note primarily addresses the UK data protection laws.On 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the...
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Produced in partnership with Marina Paul 29th Jan
Practice notes
On 31 January 2020, the UK ceased to be an EU Member State and entered a Brexit implementation period. This Practice Note introduces the approach to...
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29th Jan
Practice notes
On 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK, equivalent EEA data...
Read More >
29th Jan
Practice notes
On 31 January 2020, the UK ceased to be an EU Member State and entered the Brexit implementation period. This Practice Note provides a high-level...
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29th Jan
Q&As
This Q&A looks at the impact of Brexit on cross-border transfers of personal data involving the UK and EEA, under the General Data Protection...
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29th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Belgium; Brazil; China; Denmark; Egypt; Germany; Gibraltar;...
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29th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Austria; India; Japan; Liechtenstein; Mexico; Singapore; South...
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29th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Argentina; Australia; Chile; China; Finland; Hong Kong; Italy; Kenya;...
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29th Jan
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Austria; Belgium; Brazil; France; Germany; Japan; Netherlands; South...
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29th Jan
Q&As
Certain real estate joint venture arrangements (JVs) may potentially be subject to onerous and costly regulation under the Alternative Investment Fund...
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29th Jan
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 29th Jan
Practice notes
FORTHCOMING CHANGE: The draft Financial Services Bill proposes to make changes to the UK Market Abuse Regulation including, in relation to Article 19,...
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29th Jan
Practice notes
FORTHCOMING CHANGE: As part of review of the UK funds regime and in particular, a consultation on the tax treatment of asset holding companies, the...
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Produced in partnership with Martin Shah of Simmons & Simmons LLP based on material originally written by Charles Goddard of Rosetta Tax LLP 29th Jan
Practice notes
FORTHCOMING CHANGE: As part of review of the UK funds regime and in particular, a consultation on the tax treatment of asset holding companies, the...
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Produced in partnership with Martin Shah of Simmons & Simmons LLP based on material originally written by Charles Goddard of Rosetta Tax LLP 29th Jan

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