| 1 | A guide to the new UK financial services regulatory structure ... This practice note acts as an index to PLC's resources on the reforms to the UK financial services regulatory structure that took place on 1 April 2013. | Practice note: overview | Maintained |
| 2 | An overview of the UK anti-money laundering and counter ... A brief overview of the UK's anti-money laundering (AML) and counter-terrorist financing (CTF) regime. | Practice note: overview | Maintained |
| 3 | FSMA overview An overview of the Financial Services and Markets Act 2000 (FSMA). | Practice note: overview | Maintained |
| 4 | Money laundering toolkit All businesses in the regulated sector, including lawyers, accountants and financial institutions, need to be aware of their obligations under the anti-money laundering (AML) regime. Failure to comply with the AML regime could, in the worst case, lead to personal criminal liability. This toolkit guides users through PLC's UK, EU, US and international resources on AML. | Practice note: overview | Maintained |
| 5 | New UK financial services regulatory structure: a quick guide A quick guide to the changes to the UK financial services regulatory structure made by the Financial Services Act 2012. On 1 April 2013, the FSA was abolished and the majority of its functions transferred to two new regulators: the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). On the same date, the Bank of England (BoE) took over the FSA's responsibilities for financial market infrastructures and the Financial Policy Committee (FPC) was established on a statutory basis. For an index of PLC's resources on the new regulatory structure, see A guide to the new UK financial services regulatory structure: index. This is one of a series of quick guides: see Quick guides. | Practice note: overview | Maintained |
| 6 | Regulated Activities Order: overview An overview of the Financial Services and Markets Act 2000 (Regulated Activities) Order 2001 (SI 2001/544) (RAO), including its specified activities, specified investments, exclusions, exemptions and overrides. | Practice note: overview | Maintained |
| 7 | Bribery Act 2010 A practice note about the Bribery Act 2010, which received Royal Assent in April 2010 and came into force on 1 July 2011. The background to the Act is described in Practice note, Bribery: law reform. PLC's materials on the Bribery Act are set out in Bribery Act 2010: toolkit. | Practice notes | Maintained |
| 8 | EU financial services supervisory framework: a quick guide This is a quick guide to the EU financial services supervisory framework that formally came into effect on 1 January 2011. The framework is known as the European System of Financial Supervision (ESFS). It consists of: The European Systemic Risk Board (ESRB). The European Supervisory Authorities (ESAs) (which have replaced the previous level 3 "Lamfalussy" committees): the European Banking Authority (EBA); the European Securities and Markets Authority (ESMA); and the European Insurance and Occupational Pensions Authority (EIOPA). The Joint Committee of the ESAs. The 27 EU member state national supervisors. For a more detailed overview of the ESFS, see Practice note, An overview of the EU Financial Services supervisory framework. The reform of the EU financial services supervisory framework, which resulted in the ESFS, was tracked in Reform of European financial services supervisory framework: key developments tracker. This tracker includes key source materials, together with related PLC Financial Services coverage. | Practice notes | Maintained |
| 9 | LIBOR review and reform: overview for finance lawyers This note provides an overview of the proposals to reform LIBOR, focussing on those aspects that may impact existing and future finance agreements that refer to LIBOR. | Practice notes | Maintained |
| 10 | Listing debt securities in London An overview of the rules and procedures for listing debt securities in London. | Practice notes | Maintained |
| 11 | Prospectus Directive and debt securities An overview of the Prospectus Directive (2003/71/EC) (as amended) and the Prospectus Regulation (809/2004) (as amended), and the content requirements for a prospectus for an issue of debt securities. | Practice notes | Maintained |
| 12 | Selling debt securities: UK selling restrictions An overview of some of the restrictions that apply to offering and trading transferable securities, and the market practice on offering bonds in the UK. This note was previously called UK selling restrictions: debt securities. | Practice notes | Maintained |
| 13 | UK money laundering and terrorist financing offences in ... An overview of the money laundering and terrorist financing offences set out in the Proceeds of Crime Act 2002 (POCA) and the Terrorism Act 2000 (TACT) respectively. POCA and TACT form part of the UK's anti-money laundering (AML) and counter-terrorist financing (CTF) regime. | Practice notes | Maintained |