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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Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 19th May
Practice notes
FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
Practice notes
PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
Brexit and financial services—the financial services contracts regime (FSCR)This Practice Note considers the financial services contracts regime...
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19th May

Most recent Financial Services content

Practice notes
Deferred prosecution agreementsWhat is a deferred prosecution agreement?A deferred prosecution agreement (DPA) is an agreement between an organisation...
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13th Jul
Precedents
Sustainability definitions (The Chancery Lane Project)100% Renewable Energy and Renewable Energy Sources100% Renewable Energy•means an energy system...
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13th Jul
Practice notes
Introduction to the EU AML/CTF legal and regulatory framework for financial servicesOverview of the European AML/CTF regulatory regimeThe EU’s...
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13th Jul
Practice notes
Regulated investments essentialsFSMA 2000 activities and investmentsUnder section 19 of the Financial Services and Markets Act 2000 (FSMA 2000), no...
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13th Jul
Practice notes
Banking regulation—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in USA published as part of the...
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13th Jul
Practice notes
Banking regulation—Sri Lanka—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sri Lanka published as...
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13th Jul
Practice notes
Banking regulation—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in United Kingdom...
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13th Jul
Practice notes
SM&CR—essentials for banks and PRA-designated investment firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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13th Jul
Practice notes
Banking regulation—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Switzerland published...
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13th Jul
Practice notes
Banking regulation—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Sweden published as part of...
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13th Jul
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement DatabaseThe Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed...
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13th Jul
Practice notes
Bank Recovery and Resolution Directive (BRRD)—technical standards and guidelinesThe Bank Recovery and Resolution Directive 2014/59/EU (BRRD)...
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Produced in partnership with DLA Piper 13th Jul
Practice notes
Timelines—financial servicesThis document contains a list of timelines covering the most significant developments and regulatory regimes which impact...
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13th Jul
Practice notes
DPAs in practiceDeferred Prosecution Agreements (DPAs) have been available since 24 February 2014, when the Crime and Courts Act 2013 (CCA 2013) came...
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Produced in partnership with Quinton John Newcomb of Fulcrum Chambers 13th Jul
Practice notes
Energy derivativesIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into...
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13th Jul
Practice notes
Challenging UK sanctions designations under SAMLA 2018This Practice Note explains the UK domestic sanctions regime under the Sanctions and Anti-Money...
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Produced in partnership with John Binns of BCL Solicitors LLP 13th Jul
Practice notes
Banking regulation—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Australia published as...
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13th Jul
Practice notes
Banking regulation—China—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in China published as part of...
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13th Jul
Practice notes
The Overseas Funds RegimeThe Financial Services Act 2021 (FSA 2021) introduces a new overseas funds regime (OFR) for recognition of non-UK retail...
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Produced in partnership with André Wint (independent consultant, Merlys) 13th Jul
Practice notes
Banking regulation—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to banking regulation in Greece published as part of...
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13th Jul

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