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 The earlier "UK-EU settlement" agreed in February 2016 is no longer valid following a vote to leave.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 has indicated that notice will be given to the European Commission not later than 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.

  • Fibre optic cables

    On 9 March 2017, the Financial Conduct Authority (FCA) announced that it had agreed a co-operation framework with its Japanese equivalent, the Financial Services Agency of Japan (JFSA). The co-operation framework aims to promote innovation in both Japan and the United Kingdom and speed up the regulatory approval process for ...

  • City, London

    This article first appeared on Practical Law and is published with the permission of the publishers The Enforcement Review – significant change or more of the same? The long running review of the FCA and PRA enforcement process has finally reached an end, at least for the FCA, with the ...

  • office abstract

    The new rules in relation to regulatory references, which form part of the senior managers and certification regime, come into force in one month’s time on 7 March 2017. The new rules will apply to banks, building societies, credit unions and PRA-designated investment firms, branches of foreign banks as well ...

  • UK Parliament, London

    The Court of Appeal has upheld an earlier decision of the High Court that the law applicable to interest rate swaps entered into between a Portuguese bank and a number of Portuguese transport operators is English law. In Banco Santander Totta SA v Companhia de Carris de Ferro De Lisboa ...

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Agency Database

Future Dates

* Estimated date

  • *1 April 2017

    Date by which ESMA intends to submit final draft technical standards under the Benchmarks Regulation to the European Commission.

  • 24 April 2017

    Deadline for responses to FCA consultation CP17/2 on client assets and the special administration regime (please note 23 February is the deadline for responses to the sections on EMIR/MiFID standards proposals).

  • 28 April 2017

    Deadline for responses to EIOPA's consultation paper on guidelines on complex insurance-based
    investment products.