Securities & derivatives

Reports, news and data relating to the securities & derivatives sector.

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A referendum on Britain's membership of the European Union was held on 23 June 2016. On 24 June 2016 it was announced that the UK voted to leave the EU. The earlier "UK-EU settlement" agreed in February 2016 is no longer valid following a vote to leave. The Government gave notice to the European Commission in March 2017 to 'trigger' Article 50 and begin the process.

Latest Reports

  • Glass sky

    Top report

    PRIIPs Key Information Document

    22.12.2015

    Will Dibble (CMS Partner, UK) and Michael Cavers (CMS Partner, UK) held a seminar on PRIIPs Key Information Document requirements.

    Please click on the link in the title to download the PDF version of the seminar slides.

  • Stylus chart

    Who, what and why? On 24 March 2017, CMS held a round table discussion to gauge the industry’s views on the FCA’s discussion paper on illiquid assets and open-ended funds[1]. We were joined by a variety of senior figures from the funds world, including fund management houses, INREV, the Investment ...

  • Frankfurt, Germany

    Circular 3/2017 (GW) provides updated guidelines regarding the use of video identification procedures which come into force in Mid-June 2017. After several changes of the guidelines regarding video identification procedures, the German financial supervisory authority ("BaFin") has published new provisions regarding customer identification (KYC) via video transmission in their Circular ...

  • Europe from space

    On 16 May 2017, the Court of Justice of the European Union (CJEU) handed down its opinion on the process for concluding the EU’s free trade agreement (FTA) with Singapore, a so-called “new generation” FTA with a wider scope than more traditional FTAs. This widely awaited opinion provides clarity on ...

  • Fibre optic cables

    The Financial Conduct Authority (“FCA”) has opened for consultation its discussion paper on distributed ledger technology (“DLT”). The FCA is accepting responses until 17 July 2017. Overview The FCA has issued a discussion paper on the potential for future development of DLT in the markets it regulates. The FCA acknowledges ...

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Agency Database

Future Dates

* Estimated date

  • 31 May 2017

    Deadline for responses to DWP consultation on early exit charges in relation to occupational pension schemes.

  • 1 June 2017

    Deadline for responses to FCA's consultation paper (CP17/5) on improving the range of information in the UK equity IPO process.

  • 10 June 2017

    Deadline for responses to FCA's guidance consultation (GC17/1) on changes to the way firms calculate redress for unsuitable defined benefit pension transfers.