Article archive | Practical Law

A list of articles available on Practical Law Financial Services, covering a range of topics including authorisation, banking, conduct of business, consumer credit, insurance, investigations and enforcement, investment funds and asset management, market conduct, prudential regulation and regulated activities. The list contains articles published from 1 January 2009 onwards.

Article archive

Practical Law UK Help and Information Notes 3-202-0033 (Approx. 105 pages)

Article archive

by Practical Law Financial Services

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Maintained • United Kingdom

A list of articles available on Practical Law Financial Services, covering a range of topics including authorisation, banking, conduct of business, consumer credit, insurance, investigations and enforcement, investment funds and asset management, market conduct, prudential regulation and regulated activities. The list contains articles published from 1 January 2009 onwards.

The articles are listed by reference to topic and in reverse chronological order.

Authorisation

Establishing a branch under AIFMD and MiFID (17 September 2021)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
Pushing the boundaries of FCA regulation (26 June 2019)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Crowdfunding: an alternative source of financing (29 September 2016)
Consumer credit: the FCA takes charge (23 July 2014)
Consumer credit: FCA takes over regulation (27 March 2014)
Crowdfunding: regulating peer-to-peer and peer-to-business landing (27 March 2014)
The collective wisdom of the crowds: the regulation of crowdfunding (5 November 2013)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
MiFID II review (Part 1): Changes proposed in relation to investor protection and the provision of investment services (4 November 2011)
MiFID II review (Part 2): Changes proposed in relation to markets (4 November 2011)
Ian Mason's financial services and compliance column: November 2009 (Living in Hector's House of Culture and Ethics) (23 November 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Banking

EU BMR: European Commission proposes changes, but retains third-country routes to EU access (22 November 2023)
3VB's finance column: When do banks have to pay? Lessons from the Supreme Court’s reconsideration of the Quincecare duty (21 September 2023)
RPC's Financial Ombudsman Service column: FOS Covered: September 2023 (4 September 2023)
Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
Jake Ghanty's payment services and e-money column: April 2023 (11 April 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Practical Law Financial Services: what to expect in 2023 (20 December 2022)
Lucy Frew FinTech column: October 2022 (27 October 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
Jake Ghanty's payment services and e-money column: December 2021 (22 December 2021)
Ashurst's financial crime column: November 2021 (29 November 2021)
ESG and financial regulation: top predictions for the future (18 November 2021)
Establishing a branch under AIFMD and MiFID (17 September 2021)
Slaughter and May's banking and investment services column: April 2021 (27 April 2021)
FCA starts first criminal proceedings under Money Laundering Regulations (22 April 2021)
How UK financial services regulators are responding to climate change (12 March 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
Global crises/Covid-19: Margin calls (6 July 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Cryptoassets: personal account dealing policies and procedures (30 July 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Cryptoasset compliance in an uncertain regulatory environment (28 June 2019)
Cryptoassets: What should the second line of defence focus on? (28 June 2019)
Latest shake-up of remuneration provisions for banks and investment firms (21 March 2019)
Slaughter and May's banking and investment services column: February 2019 (13 February 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
3VB's finance column: Ignorance is bliss: Limiting a Bank's duty of care (22 November 2018)
SMEs and banks: balancing the scales (3 September 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
PAG v RBS: Court of Appeal dismisses IRHP misselling and LIBOR manipulation claim (8 March 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
3VB's finance column: Detecting rotten apples (before they spoil the CDO) (16 November 2017)
Slaughter and May's banking and investment services column: June 2017 (20 June 2017)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Senior managers and certification regime: Scaling up (7 March 2017)
Property Alliance Group v RBS: key aspects of High Court's judgment and implications for similar claims (30 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Internal investigations and privilege: big challenges ahead (14 December 2016)
European Account Preservation Orders: are you ready? (6 December 2016)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
Brexit: How can in-house legal counsel in the banking sector best prepare? (8 November 2016)
Jacob Ghanty's payment services and e-money column: November 2016 (7 November 2016)
Blockchain technology: emerging from the shadows (27 October 2016)
Regulatory references: haunted by the past (27 October 2016)
Rotten apples and regulatory references (10 October 2016)
Brexit: losing our passport (4 August 2016)
Slaughter and May's banking and investment services column: August 2016 (2 August 2016)
New payment services regime: preparing for a revised landscape (28 July 2016)
The limits of duties of care to advise customers: financial entities may rest more easily but not on laurels (26 July 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Challenger banks: risks and rewards for new entrants (30 June 2016)
Investment and corporate banking review: initial thoughts from the FCA (28 April 2016)
Alison McHaffie's financial services investigations and enforcement column: March 2016 (23 March 2016)
Brian McDonnell, Regulatory references: rolling bad apples will keep on rolling (26 January 2016)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
Jacob Ghanty's payment services and e-money column: June 2015 (3 June 2015)
MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) (22 April 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
PRA and FCA remuneration proposals: overview and impact (11 December 2014)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
CRD IV bankers' bonus cap: ECJ hears UK legal challenge (8 September 2014)
Does Volcker + Vickers = Liikanen? (23 April 2014)
Jacob Ghanty's payment services and e-money column: February 2014 (13 February 2014)
Ben Kingsley's banking and investment services column: January 2014 (6 January 2014)
Bonus cap: PRA and FCA announce details of UK implementation (22 October 2013)
Basel III Framework: US-EU Comparison (14 October 2013)
Ben Kingsley's banking and investment services column: October 2013 (2 October 2013)
Berwin Leighton Paisner's corporate crime and investigations column: August 2013 (29 August 2013)
FCA and PRA CRD IV consultations: remuneration aspects (20 August 2013)
Ben Kingsley's banking and investment services column: June 2013 (28 June 2013)
Ben Kingsley's banking and investment services column: March 2013 (8 March 2013)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Ian Mason's financial services and compliance column: November 2012 (27 November 2012)
Ben Kingsley's banking and investment services column: November 2012 (16 November 2012)
Richard Mawrey QC's consumer credit column: November 2012 (1 November 2012)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
Ian Mason's financial services and compliance column: August 2012 (17 August 2012)
White paper on banking reform: potential implications for insurers (8 August 2012)
Proposals for an EU bail-in tool (17 July 2012)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)
Basel III and the New US Capital Framework Proposals (27 June 2012)
Berwin Leighton Paisner's corporate crime and investigations column: June 2012 (13 June 2012)
Ben Kingsley's banking and investment services column: March 2012 (15 March 2012)
Lehman client money judgment: Supreme Court upholds Court of Appeal decision (5 March 2012)
Ben Kingsley's banking and investment services column: January 2012 (16 January 2012)
Ian Mason's financial services and compliance column: January 2012 (Some predictions for 2012) (9 January 2012)
Ben Kingsley's banking and investment services column: December 2011 (12 December 2011)
Foreign Banks and the Broad Reach of the Volcker Rule (1 December 2011)
The Vickers Report's Proposal to Ring Fence UK Banks: Comparison with US Banking Law (22 November 2011)
The final report of the Independent Commission on Banking: implications for the insurance sector (19 October 2011)
Ask the team: What are the defences to a claim on a stopped cheque? (4 October 2011)
Ben Kingsley's banking and investment services column: October 2011 (28 September 2011)
Resolving the dilemma of British Banking: the final report of the Independent Commission on Banking (23 September 2011)
Corporate governance: a long way to go? (1 September 2011)
Shadow directors: keeping on the sidelines (1 September 2011)
Ben Kingsley's banking and investment services column: August 2011 (4 August 2011)
Ask the team: Are cheques definitely being abolished? (23 June 2011)
Finance Bill highlights: CFCs and branch profits (26 May 2011)
Barclays - A practical approach to records management (2 May 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
Misselling liability in Germany and England (13 April 2011)
Bankers' remuneration: the skys no longer the limit (27 October 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
Contingent convertible instruments and the brave new world of regulatory capital (6 April 2010)
Ian Mason's financial services and compliance column: January 2010 (The Intrusive Approach - how it is looking for 2010) (29 January 2010)
Walker review: banks on best behaviour (27 January 2010)
Pre-Budget Report: key developments (26 January 2010)
Ian Mason's financial services and compliance column: December 2009 (The FSA: Ten predictions for 2010) (23 December 2009)
New trends in prime brokerage in the UK (2 December 2009)
Payment Services Directive: ready for the new regime? (28 October 2009)
No financial penalty for bond traders found to have engaged in market abuse: implications for the reasonable grounds defence (7 October 2009)
Lehman and the hedge funds: a scheme too far? (1 October 2009)
Shareholder activism: a modicum of reassurance (1 October 2009)
Unequal pay and sex discrimination: the workplace reality (1 October 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
Lehman: further twists in the road (2 September 2009)
Directors' duties: current interpretation and future reforms (26 August 2009)
Walker review: spotlight on banks' corporate governance (22 July 2009)
EU bank stabilisation measures: weathering the storm (1 June 2009)
Core capital is king (26 May 2009)
Lehman Brothers - where are we and where are we going? (26 May 2009)
Fair value accounting: what's all the fuss about? (29 April 2009)
Ian Mason's financial services and compliance column: April 2009 (On scrapping cars and directives) (27 April 2009)
Ian Mason's financial services and compliance column: March 2009 (The Turner Review: some unanswered questions) (30 March 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)
Views of leading financial services practitioners on the FSA's 2009 Financial Risk Outlook and 2009/10 Business Plan (26 February 2009)
Competition law and the credit crunch: do the usual state aid rules still apply? (22 January 2009)

Brexit

Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Brexit: the Avoidable Inessential Futile Maddening Directive (AIFMD) continues (23 November 2018)
Pollyanna Deane's insurance column: July 2018 (25 July 2018)

Client Assets

Jake Ghanty's payment services and e-money column: December 2021 (22 December 2021)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Pollyanna Deane's insurance column: March 2016 (1 March 2016)
MiFID: keeping pace with a changing world (23 October 2014)
MiFID II Briefing Series: the ESMA proposals (Part 2) (29 July 2014)
Ben Kingsley's banking and investment services column: November 2012 (16 November 2012)
Richard Mawrey QC's consumer credit column: November 2012 (1 November 2012)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
UCITS V: key points and comparison with AIFM Directive (9 July 2012)
Ian Mason's financial services and compliance column: May 2012 (4 May 2012)
Ben Kingsley's banking and investment services column: March 2012 (15 March 2012)
Lehman client money judgment: UK Supreme Court upholds Court of Appeal (5 March 2012)
Pollyanna Deane's insurance column: June 2011 (1 June 2011)
The Lehman client money judgment: the Court of Appeal overturns key aspects of the High Court decision (19 August 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
The Lehman client money judgment: what does it mean for the client money rules (23 February 2010)
Ian Mason's financial services and compliance column: January 2010 (The Intrusive Approach - how it is looking for 2010) (29 January 2010)
New trends in prime brokerage (2 December 2009)
Lehman and the hedge funds: a scheme too far? (1 October 2009)
Application of the FSA's client money rules in light of the Global Trader decision (7 September 2009)
Lehman: further twists in the road (2 September 2009)
Lehman Brothers - where are we and where are we going? (26 May 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Complaints and redress

RPC's Financial Ombudsman Service column: FOS Covered: October 2023 (4 October 2023)
RPC's Financial Ombudsman Service column: FOS Covered: September 2023 (4 September 2023)
RPC's Financial Ombudsman Service column: FOS Covered: June 2023 (5 June 2023)
Gough Square Chambers' consumer credit column: May 2023 (31 May 2023)
3VB's finance column: How does a financial institution know when an insolvent client's complaint is time-barred? (15 May 2023)
The COVID-19 business interruption insurance test case: the "lay of the land" post the Supreme Court judgment (8 March 2021)
Gough Square Chambers' consumer credit column: January 2021 (29 January 2021)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Gough Square Chambers' consumer credit column: October 2018 (24 October 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
When the ICO comes to call: is your company ready? (24 July 2013)
Financial Ombudsman Service: key recent developments (23 May 2012)
The new UK regulatory landscape: what does it mean for the insurance sector? (1 January 2012)
US whistleblower rules: ignore them at your peril (28 September 2011)
What next for firms following the judicial review on PPI? (6 June 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risks Outlooks 2011 (21 April 2011)

Conduct of business

3VB's finance column: When do banks have to pay? Lessons from the Supreme Court's reconsideration of the Quincecare duty (21 September 2023)
The SEC's new private funds rules on preferential treatment: how do they compare with the AIFMD? (13 September 2023)
RPC's Financial Ombudsman Service column: FOS Covered: September 2023 (4 September 2023)
Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
RPC's Financial Ombudsman Service column: FOS Covered: June 2023 (5 June 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Grant Murtagh's insurance column: October 2022 (28 October 2022)
MiFID II sustainability preferences: putting ESG at the centre of the sales process (4 July 2022)
ESG and financial regulation: top predictions for the future (18 November 2021)
Pollyanna Deane's insurance column: July 2021 (15 July 2021)
ESMA guidance on fund marketing communications: what fund managers need to know (16 June 2021)
The COVID-19 business interruption insurance test case: the "lay of the land" post the Supreme Court judgment (8 March 2021)
Melville Rodrigues' fund management column: January 2021 (20 January 2021)
Pollyanna Deane's insurance column: January 2021 (4 January 2021)
Melville Rodrigues' fund management column: December 2020 (11 December 2020)
Court of Appeal overturns refusal to approve Prudential insurance business transfer to Rothesay Life (9 December 2020)
Melville Rodrigues' fund management column: September 2020 (29 September 2020)
Melville Rodrigues' fund management column: August 2020 (4 August 2020)
Global crises/Covid-19: Margin calls (6 July 2020)
Advocate General suggests unilateral variation of terms in payment services contracts should be limited to non-essential changes (22 May 2020)
Immediate considerations for financial services clients in response to the COVID-19 pandemic (26 March 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Pollyanna Deane's insurance column: December 2019 (19 December 2019)
InsurTech 2019: where are we now? (28 November 2019)
Pollyanna Deane's insurance column: June 2019 (10 June 2019)
Recommended response to FCA warning to firms operating in general insurance sector (1 May 2019)
Pollyanna Deane's insurance column: March 2019 (29 March 2019)
Monica Gogna at Dechert: asset management column: January 2019 (22 January 2019)
Pollyanna Deane's insurance column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pollyanna Deane's insurance column: June 2018 (8 June 2018)
Pollyanna Deane's insurance column: March 2018 (15 March 2018)
Regulatory challenges of AI for the insurance industry (26 February 2018)
Pollyanna Deane's insurance column: January 2018 (12 January 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
MiFID II investment research costs: to pay or not to pay? (20 November 2017)
3VB's finance column: Detecting rotten apples (before they spoil the CDO) (16 November 2017)
Pollyanna Deane's insurance column: October 2017 (9 October 2017)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Pollyanna Deane's insurance column: June 2017 (1 June 2017)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Property Alliance Group v RBS: key aspects of High Court's judgment and implications for similar claims (30 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Ian Mason's market conduct column: December 2016 (1 December 2016)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Insurance Distribution Directive: key reforms and impact on UK firms (23 August 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Contractual interpretation and time limits: clarity is key (28 April 2016)
Robo-advice: back to the future (28 April 2016)
Alison McHaffie's financial services investigations and enforcement column: March 2016 (23 March 2016)
IGCs and contract-based DC governance: how far should they go? (12 November 2015)
Consumer Rights Act 2015: key issues for financial service firms (7 September 2015)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) (22 April 2015)
Consumer credit: The new regime 12 months on (31 March 2015)
Pollyanna Deane's insurance column: March 2015 (6 March 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Dealing commission: where next under MiFID II? (28 January 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
Proposed new FCA and PRA senior managers and certification regime: employment implications (11 December 2014)
Pollyanna Deane's insurance column: October 2014 (30 October 2014)
Pollyanna Deane's insurance column: August 2014 (28 August 2014)
MiFID II Briefing Series: the ESMA proposals (Part 2) (29 July 2014)
Pollyanna Deane's insurance column: June 2014 (6 June 2014)
Solvency II: A guide to the legal process and next steps (4 April 2014)
Pollyanna Deane's insurance column: March 2014 (7 March 2014)
FCA's Dear CEO letter on outsourcing - an overview and practical steps for asset managers (6 September 2013)
Ben Kingsley's banking and investment services column: June 2013 (28 June 2013)
Pollyanna Deane's insurance column: April 2013 (17 April 2013)
Pollyanna Deane's insurance column: February 2013 (21 February 2013)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
With-profits mutuals: FSA has "road to Damascus" experience (16 January 2013)
Ian Mason's financial services and compliance column: December 2012 (20 December 2012)
Pollyanna Deane's insurance column: October 2012 (3 October 2012)
Ben Kingsley's banking and investment services column: September 2012 (13 September 2012)
Solvency II: FSA's proposals for with-profits business (29 August 2012)
Pollyanna Deane's insurance column: August 2012 (15 August 2012)
White paper on banking reform: potential implications for insurers (8 August 2012)
Richard Mawrey QC's consumer credit column: July 2012 (3 July 2012)
Pollyanna Deane's insurance column: June 2012 (2 June 2012)
Richard Mawrey QC's consumer credit column: May 2012 (1 May 2012)
Pollyanna Deane's insurance column: April 2012 (5 April 2012)
Pollyanna Deane's insurance column: February 2012 (1 February 2012)
Ben Kingsley's banking and investment services column: January 2012 (16 January 2012)
Solvency II: group supervision and equivalence (11 January 2012)
Ben Kingsley's banking and investment services column: December 2011 (12 December 2011)
Pollyanna Deane's insurance column: December 2011 (2 December 2011)
Solvency II delay: what does it mean for firms? (29 November 2011)
The Vickers Report's Proposal to Ring Fence UK Banks: Comparison with US Banking Law (22 November 2011)
MiFID II review (Part 1): Changes proposed in relation to investor protection and the provision of investment services (4 November 2011)
MiFID II review (Part 2): Changes proposed in relation to markets (4 November 2011)
The final report of the Independent Commission on Banking: implications for the insurance sector (19 October 2011)
Pollyanna Deane's insurance column: October 2011 (4 October 2011)
Ben Kingsley's banking and investment services column: October 2011 (28 September 2011)
Resolving the dilemma of British Banking: the final report of the Independent Commission on Banking (23 September 2011)
Pollyanna Deane's insurance column: June 2011 (1 June 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
Misselling liability in Germany and England (13 April 2011)
MiFID under review: European Commission consultation (26 January 2011)
High frequency trading: the road to regulation? (27 October 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
FSA enforcement: new penalty framework bites (24 March 2010)
Ian Mason's financial services and compliance column: January 2010 (The Intrusive Approach - how it is looking for 2010) (29 January 2010)
Pre-Budget Report: key developments (26 January 2010)
Ian Mason's financial services and compliance column: November 2009 (Living in Hector's House of Culture and Ethics) (23 November 2009)
Court confirms Aviva inherited estate reattribution (20 November 2009)
No financial penalty for bond traders found to have engaged in market abuse: implications for the reasonable grounds defence (7 October 2009)
Adapting to tough times: current trends in hedge funds (23 July 2009)
Ian Mason's financial services and compliance column: May 2009 (The regulatory risks of a long lunch and other stories) (29 May 2009)
Ian Mason's financial services and compliance column: April 2009 (On scrapping cars and directives) (27 April 2009)
Ian Mason's financial services and compliance column: March 2009 (The Turner Review: some unanswered questions) (30 March 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Consumer credit

Gough Square Chambers' consumer credit column: September 2023 (27 September 2023)
Gough Square Chambers' consumer credit column: July 2023 (28 July 2023)
Gough Square Chambers' consumer credit column: May 2023 (31 May 2023)
Gough Square Chambers' consumer credit column: March 2023 (8 March 2023)
Gough Square Chambers' consumer credit column: January 2023 (31 January 2023)
Gough Square Chambers' consumer credit column: November 2022 (24 November 2022)
Gough Square Chambers' consumer credit column: September 2022 (28 September 2022)
Gough Square Chambers' consumer credit column: July 2022 (29 July 2022)
Gough Square Chambers' consumer credit column: April 2022 (29 April 2022)
Gough Square Chambers' consumer credit column: February 2022 (24 February 2022)
Gough Square Chambers' consumer credit column: December 2021 (16 December 2021)
Gough Square Chambers' consumer credit column: October 2021 (22 October 2021)
Gough Square Chambers' consumer credit column: September 2021 (27 September 2021)
Gough Square Chambers' consumer credit column: August 2021 (31 August 2021)
Gough Square Chambers' consumer credit column: June 2021 (15 June 2021)
Gough Square Chambers' consumer credit column: May 2021 (26 May 2021)
Gough Square Chambers' consumer credit column: April 2021 (27 April 2021)
Gough Square Chambers' consumer credit column: March 2021 (1 April 2021)
Woolard Review sets out vision for unsecured credit: now over to the FCA to make it happen (24 February 2021)
Gough Square Chambers' consumer credit column: February 2021 (17 February 2021)
Gough Square Chambers' consumer credit column: January 2021 (29 January 2021)
Gough Square Chambers' consumer credit column: December 2020 (15 December 2020)
Gough Square Chambers' consumer credit column: November 2020 (27 November 2020)
Gough Square Chambers' consumer credit column: October 2020 (21 October 2020)
Gough Square Chambers' consumer credit column: September 2020 (25 September 2020)
Gough Square Chambers' consumer credit column: August 2020 (25 August 2020)
Gough Square Chambers' consumer credit column: July 2020 (28 July 2020)
Gough Square Chambers' consumer credit column: June 2020 (23 June 2020)
Gough Square Chambers' consumer credit column: May 2020 (7 May 2020)
Gough Square Chambers' consumer credit column: March 2020 (26 March 2020)
Gough Square Chambers' consumer credit column: February 2020 (7 February 2020)
Gough Square Chambers' consumer credit column: January 2020 (23 January 2020)
Gough Square Chambers' consumer credit column: November 2019 (27 November 2019)
Gough Square Chambers' consumer credit column: October 2019 (28 October 2019)
Gough Square Chambers' consumer credit column: August 2019 (8 August 2019)
Gough Square Chambers' consumer credit column: July 2019 (23 July 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Gough Square Chambers' consumer credit column: June 2019 (11 June 2019)
Gough Square Chambers' consumer credit column: May 2019 (29 May 2019)
Gough Square Chambers' consumer credit column: April 2019 (4 April 2019)
Gough Square Chambers' consumer credit column: February 2019 (15 February 2019)
Gough Square Chambers' consumer credit column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Gough Square Chambers' consumer credit column: November 2018 (29 November 2018)
Gough Square Chambers' consumer credit column: October 2018 (24 October 2018)
Gough Square Chambers' consumer credit column: September 2018 (6 September 2018)
Gough Square Chambers' consumer credit column: July 2018 (30 July 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
Gough Square Chambers' consumer credit column: June 2018 (19 June 2018)
Gough Square Chambers' consumer credit column: April 2018 (26 April 2018)
Gough Square Chambers' consumer credit column: March 2018 (27 March 2018)
Gough Square Chambers' consumer credit column: February 2018 (15 February 2018)
Gough Square Chambers' consumer credit column: January 2018 (5 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Gough Square Chambers' consumer credit column: November 2017 (14 November 2017)
Gough Square Chambers' consumer credit column: September 2017 (13 September 2017)
Gough Square Chambers' consumer credit column: August 2017 (8 August 2017)
Gough Square Chambers' consumer credit column: July 2017 (17 July 2017)
FCA review of motor finance market: is this likely to lead to significant change? (6 June 2017)
Gough Square Chambers' consumer credit column: June 2017 (5 June 2017)
Gough Square Chambers' consumer credit column: April 2017 (20 April 2017)
Gough Square Chambers' consumer credit column: March 2017 (14 March 2017)
Gough Square Chambers' consumer credit column: February 2017 (24 February 2017)
Gough Square Chambers' consumer credit column: January 2017 (19 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Gough Square Chambers' consumer credit column: December 2016 (14 December 2016)
Gough Square Chambers' consumer credit column: November 2016 (7 November 2016)
Jacob Ghanty's payment services and e-money column: November 2016 (7 November 2016)
When is your guarantee subject to consumer law? (4 November 2016)
Gough Square Chambers' consumer credit column: October 2016 (7 October 2016)
Gough Square Chambers' consumer credit column: September 2016 (7 September 2016)
Gough Square Chambers' consumer credit column: August 2016 (3 August 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Gough Square Chambers' consumer credit column: July 2016 (6 July 2016)
Gough Square Chambers' consumer credit column: June 2016 (7 June 2016)
Gough Square Chambers' consumer credit column: May 2016 (16 May 2016)
Gough Square Chambers' consumer credit column: April 2016 (4 April 2016)
Gough Square Chambers' consumer credit column: March 2016 (9 March 2016)
Gough Square Chambers' consumer credit column: February 2016 (9 February 2016)
Gough Square Chambers' consumer credit column: January 2016 (19 January 2016)
Gough Square Chambers' consumer column: December 2015 (16 December 2015)
Gough Square Chambers' consumer credit column: November 2015 (11 November 2015)
Gough Square Chambers' consumer credit column: October 2015 (9 October 2015)
Gough Square Chambers' consumer credit column: September 2015 (3 September 2015)
Gough Square Chambers' consumer credit column: August 2015 (10 August 2015)
Gough Square Chambers' consumer credit column: July 2015 (6 July 2015)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
Gough Square Chamber's consumer credit column: June 2015 (9 June 2015)
The challenge of treating vulnerable consumers appropriately (10 April 2015)
Consumer credit: The new regime 12 months on (31 March 2015)
Consumer credit: relief for insurers? (24 March 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
The collective wisdom of the crowds: the regulation of crowdfunding (5 November 2013)
Richard Mawrey QC's consumer credit column: December 2012 (4 December 2012)
Richard Mawrey QC's consumer credit column: November 2012 (1 November 2012)
Richard Mawrey QC's consumer credit column: October 2012 (1 October 2012)
Richard Mawrey QC's consumer credit column: September 2012 (6 September 2012)
Richard Mawrey QC's consumer credit column: August 2012 (1 August 2012)
Richard Mawrey QC's consumer credit column: July 2012 (3 July 2012)
Richard Mawrey QC's consumer credit column: June 2012 (1 June 2012)
Richard Mawrey QC's consumer credit column: May 2012 (1 May 2012)
Richard Mawrey QC's consumer credit column: April 2012 (2 April 2012)
Richard Mawrey QC's consumer credit column: March 2012 (29 February 2012)
Richard Mawrey QC's consumer credit column: February 2012 (1 February 2012)
Richard Mawrey QC's consumer credit column: January 2012 (3 January 2012)
Richard Mawrey QC's consumer credit column: December 2011 (1 December 2011)
Richard Mawrey QC's consumer credit column: November 2011 (1 November 2011)
Richard Mawrey QC's consumer credit column: October 2011 (3 October 2011)
Richard Mawrey QC's consumer credit column: August 2011 (1 August 2011)
Richard Mawrey QC's consumer credit column: July 2011 (1 July 2011)
What next for firms following the judicial review on PPI? (6 June 2011)
The race for the Triple Crown: horses, high stakes and PPI (3 June 2011)
Ask the team: Is a loan from a parent to adult child unenforceable because of the Consumer Credit Act 1974? (28 March 2011)
UK implementation of the Consumer Credit Directive (12 January 2011)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

ESG and sustainability

Ashurst's sustainable finance column: September 2023 (18 September 2023)
Ashurst's sustainable finance column: July 2023 (6 July 2023)
Ashurst's sustainable finance column: April 2023 (11 April 2023)
Ashurst's sustainable finance column: March 2023 (biodiversity) (6 March 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Ashurst's sustainable finance column: March 2023 (1 March 2023)
Labelling of ESG funds: the US, UK and EU approaches (23 February 2023)
Ashurst's sustainable finance column: November 2022 (8 November 2022)

Financial crime

3VB's finance column: When do banks have to pay? Lessons from the Supreme Court’s reconsideration of the Quincecare duty (21 September 2023)
RPC's Financial Ombudsman Service column: FOS Covered: September 2023 (4 September 2023)
Lucy Frew FinTech column: October 2022 (27 October 2022)
Ian Mason's market conduct column: July 2022 (12 July 2022)
Privy Council decides that banks owe no Quincecare duty to a beneficial owner of monies in an account (26 May 2022)
Ian Mason's market conduct column: March 2022 (10 March 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
Ashurst's financial crime column: November 2021 (29 November 2021)
Ashurst's financial crime column: July 2021 (9 July 2021)
Ashurst's financial crime column: May 2021 (19 May 2021)
Slaughter and May's banking and investment services column: April 2021 (27 April 2021)
FCA starts first criminal proceedings under Money Laundering Regulations (22 April 2021)
FCA's expectations of "purposeful" AML systems and controls (16 April 2021)
Ashurst's financial crime column: March 2021 (5 March 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Ashurst's financial crime column: January 2021 (15 January 2021)
Conducting remote financial services investigations in a post-COVID-19 world (10 November 2020)
Challenges ahead: the changing risk of financial crime (15 October 2020)
Immediate considerations for financial services clients in response to the COVID-19 pandemic (26 March 2020)
TLT mortgage and home finance column: February 2020 (28 February 2020)
New EU Whistleblowing Directive: what UK financial services firms need to know (4 February 2020)
TLT mortgage and home finance column: January 2020 (27 January 2020)
Time to clarify the legal status of cryptocurrencies? (31 October 2019)
Ian Mason's market conduct column: June 2019 (25 June 2019)
FCA Enforcement: is it fit for purpose? (12 June 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
3VB's finance column: Ignorance is bliss: Limiting a Bank's duty of care (22 November 2018)
Bryan Cave Leighton Paisner's corporate crime and investigations column: October 2018 (12 October 2018)
Lucy Frew's FinTech column: July 2018 (24 July 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Ian Mason's market conduct column: December 2017 (19 December 2017)
BLP Corporate Crime & Investigations column: December 2017 (1 December 2017)
Sanctions: Brexit bill mark one makes its way through Parliament (23 November 2017)
BLP Corporate Crime & Investigations column: July 2017 (7 July 2017)
BLP Corporate Crime & Investigations column: April 2017 (24 April 2017)
BLP Corporate Crime & Investigations column: January 2017 (6 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
BLP Corporate Crime & Investigations column: October 2016 (19 October 2016)
Pollyanna Deane's insurance column: August 2016 (31 August 2016)
Blockchain technology and its regulation: introduction (26 August 2016)
Data protection compliance strategy (1 August 2016)
Amendments to the Act on the Protection of Personal Information and Relevant Issues (1 July 2016)
The New Personal Data Protection Law in Turkey (1 July 2016)
Panama papers: time to firm up on cyber security? (28 April 2016)
BLP Corporate Crime & Investigations column: April 2016 (8 April 2016)
Bribery Act 2010: SFO concludes first deferred prosecution agreement (28 January 2016)
Corporate criminal liability: looking across borders (28 January 2016)
Cyber security: top ten tips for businesses (28 January 2016)
BLP Corporate Crime & Investigations column: January 2016 (26 January 2016)
Deferred prosecution agreements (DPAs) (1 December 2015)
Latest developments and alternative ways in asset recovery in Turkey (1 December 2015)
BLP Corporate Crime & Investigations column: November 2015 (27 November 2015)
Corporate crime reporting (1 October 2015)
The new Brazilian Anti-Corruption Act: overview (1 October 2015)
SFO enforcement: has the tanker turned? (24 September 2015)
BLP Corporate Crime & Investigations column: September 2015 (18 September 2015)
Assessing and managing the impact of economic sanctions on commercial contracts (3 September 2015)
Financial crime compliance: joining up the dots (23 July 2015)
Whistleblower policies in Turkey: the employment, criminal law and data protection perspectives (1 July 2015)
Cryptocurrencies and mobile payments: all change (25 June 2015)
Fourth Anti-Money Laundering Directive: preparing for launch (25 June 2015)
Berwin Leighton Paisner's corporate crime and investigations column: June 2015 (22 June 2015)
Berwin Leighton Paisner's corporate crime and investigations column: April 2015 (7 April 2015)
Market abuse: a tough new regime (26 February 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Berwin Leighton Paisner's corporate crime and investigations column: January 2015 (26 January 2015)
Assessing and managing the impact of economic sanctions on commercial contracts (20 October 2014)
Berwin Leighton Paisner's corporate crime and investigations column: October 2014 (2 October 2014)
Berwin Leighton Paisner's corporate crime and investigations column: July 2014 (18 July 2014)
Berwin Leighton Paisner's corporate crime and investigations column: March 2014 (18 March 2014)
Berwin Leighton Paisner's corporate crime and investigations column: January 2014 (22 January 2014)
Berwin Leighton Paisner's corporate crime and investigations column: October 2013 (18 October 2013)
Berwin Leighton Paisner's corporate crime and investigations column: August 2013 (29 August 2013)
Berwin Leighton Paisner's corporate crime and investigations column: June 2013 (18 June 2013)
Ian Mason's financial services and compliance column: June 2013 (3 June 2013)
Berwin Leighton Paisner's corporate crime and investigations column: April 2013 (10 April 2013)
Berwin Leighton Paisner's corporate crime and investigations column: February 2013 (19 February 2013)
Berwin Leighton Paisner's corporate crime and investigations column: December 2012 (20 December 2012)
Bribery: a guide to self-reporting in the light of DPAs and the new SFO policy (3 December 2012)
Ian Mason's financial services and compliance column: November 2012 (27 November 2012)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
Berwin Leighton Paisner's corporate crime and investigations column: October 2012 (12 October 2012)
Pollyanna Deane's insurance column: August 2012 (15 August 2012)
Berwin Leighton Paisner's corporate crime and investigations column: August 2012 (3 August 2012)
Berwin Leighton Paisner's corporate crime and investigations column: June 2012 (13 June 2012)
Berwin Leighton Paisner's corporate crime and investigations column: April 2012 (3 April 2012)
Berwin Leighton Paisner's corporate crime and investigations column: February 2012 (8 February 2012)
Bribery Act 2010: what does it mean for your company? (26 May 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
The Bribery Act 2010: a landscape transformed (1 December 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
Ian Mason's financial services and compliance column: November 2009 (Living in Hector's House of Culture and Ethics) (23 November 2009)
M&A due diligence: assessing compliance and corruption risk (26 August 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)
Something is rotten in the state of New York (13 January 2009)

Financial promotion and marketing

Melville Rodrigues' fund management column: March 2023 (15 March 2023)
AIFMD: An Increasingly Friendly Modifying Directive and Another Involved Fund Marketing Demand (13 June 2022)
ESMA guidance on fund marketing communications: what fund managers need to know (16 June 2021)
Melville Rodrigues' fund management column: January 2021 (20 January 2021)
Pollyanna Deane's insurance column: January 2021 (4 January 2021)
Melville Rodrigues' fund management column: December 2020 (11 December 2020)
Melville Rodrigues' fund management column: September 2020 (29 September 2020)
Melville Rodrigues' fund management column: August 2020 (4 August 2020)
Pushing the boundaries of FCA regulation (26 June 2019)
Slaughter and May's banking and investment services column: February 2019 (13 February 2019)
Cross-border distribution of funds: marketing AIFs might get more nonsensical (13 March 2018)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Crowdfunding: an alternative source of financing (29 September 2016)
Gough Square Chambers' consumer credit column: May 2016 (16 May 2016)
MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) (22 April 2015)
Financial promotions and social media: mind how you tweet (26 March 2015)
Market abuse: a tough new regime (26 February 2015)
Social media and securities laws: navigating the risks (29 January 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
Can financial services firms use social media effectively and comply with FCA financial promotion requirements? (3 December 2014)
Farewell to the old private adviser exemption: SEC final rules implement Dodd-Frank exemptions to adviser registration (17 February 2012)
MiFID under review: European Commission consultation (26 January 2011)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

FinTech and digital assets

Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
Lucy Frew FinTech column: February 2023 (14 February 2023)
UK cryptoasset regulation: coming sooner rather than later? (17 November 2022)
Lucy Frew FinTech column: October 2022 (27 October 2022)
MiCA: EU legislators agree rules to tame crypto "Wild West" (22 July 2022)
Lucy Frew FinTech column: June 2022 (30 June 2022)
Lucy Frew's FinTech column: February 2022 (1 February 2022)
Pinsent Masons' InsurTech column: September 2021 (27 September 2021)
What EU proposals for an AI Regulation mean for financial services (10 June 2021)
Lucy Frew FinTech column: April 2021 (30 April 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Lucy Frew's FinTech column: January 2021 (14 January 2020)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
TLT mortgage and home finance column: February 2020 (28 February 2020)
TLT mortgage and home finance column: January 2020 (27 January 2020)
Pollyanna Deane's insurance column: December 2019 (19 December 2019)
InsurTech 2019: where are we now? (28 November 2019)
Cryptoassets and the Market Abuse Regulation: main challenges (15 November 2019)
Time to clarify the legal status of cryptocurrencies? (31 October 2019)
Cryptoassets: personal account dealing policies and procedures (30 July 2019)
Lucy Frew's FinTech column: July 2019 (12 July 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Cryptoasset compliance in an uncertain regulatory environment (28 June 2019)
Cryptoassets: What should the second line of defence focus on? (28 June 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Lucy Frew's FinTech column: February 2019 (28 February 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pollyanna Deane's insurance column: September 2018 (27 September 2018)
Lucy Frew's FinTech column: July 2018 (24 July 2018)

Individual accountability

Jake Ghanty's payment services and e-money column: April 2023 (11 April 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Allen & Overy's financial services investigations and enforcement column: December 2022 (19 December 2022)
A&O decision insight: Upper Tribunal upholds FCA's decision to ban financial adviser for non-financial misconduct (20 September 2022)
A&O decision insight: first regulatory enforcement action for non-financial misconduct in the workplace (20 September 2022)
Driving meaningful change in diversity and inclusion in the financial sector: the regulators' proposals (19 July 2021)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Immediate considerations for financial services clients in response to the COVID-19 pandemic (26 March 2020)
New EU Whistleblowing Directive: what UK financial services firms need to know (4 February 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Non-financial misconduct: FCA continues its focus and confirms open enforcement investigations (18 November 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
FCA Enforcement: is it fit for purpose? (12 June 2019)
Slaughter and May's banking and investment services column: February 2019 (13 February 2019)
Pollyanna Deane's insurance column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pollyanna Deane's insurance column: July 2018 (25 July 2018)
Know your GDPR: self-reporting and enforcement considerations for contentious regulatory lawyers (26 June 2018)
Pollyanna Deane's insurance column: June 2018 (8 June 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Senior managers and certification regime: Scaling up (7 March 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
Regulatory references: haunted by the past (27 October 2016)
Rotten apples and regulatory references (10 October 2016)
The senior managers regime and the general counsel role (15 July 2016)
Pollyanna Deane's insurance column: June 2016 (1 June 2016)
Senior managers and certification regime: food for thought for in-house lawyers (25 February 2016)
Regulatory references: rolling bad apples will keep on rolling (26 January 2016)
Alison McHaffie's financial services investigations and enforcement column: November 2015 (24 November 2015)
Pollyanna Deane's insurance column: July 2015 (28 July 2015)
Executive pay: further regulation for key staff at UK banks (23 July 2015)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
Pollyanna Deane's insurance column: March 2015 (6 March 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Pollyanna Deane's insurance column: December 2014 (19 December 2014)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
PRA and FCA remuneration proposals: overview and impact (11 December 2014)
Proposed new FCA and PRA senior managers and certification regime: employment implications (11 December 2014)
Alison McHaffie's financial services investigations and enforcement column: November 2014 (25 November 2014)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
FCA and PRA confirm approaches to tackling serious failings in standards, governance and culture in firms (7 July 2014)
Pollyanna Deane's insurance column: June 2014 (6 June 2014)
Ben Kingsley's banking and investment services column: January 2014 (6 January 2014)
Ben Kingsley's banking and investment services column: June 2013 (28 June 2013)
Berwin Leighton Paisner's corporate crime and investigations column: August 2012 (3 August 2012)
Ian Mason's financial services and compliance column: May 2012 (4 May 2012)
Ben Kingsley's banking and investment services column: March 2012 (15 March 2012)
Ian Mason's financial services and compliance column: January 2010 (29 January 2010)
Walker review: banks on best behaviour (27 January 2010)
Ian Mason's financial services and compliance column: December 2009 (23 December 2009)
Ian Mason's financial services and compliance column: November 2009 (23 November 2009)
No financial penalty for bond traders found to have engaged in market abuse: implications for the reasonable grounds defence (7 October 2009)
Ian Mason's financial services and compliance column: September 2009 (24 September 2009)
Walker review: spotlight on banks' corporate governance (22 July 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Insurance

EU BMR: European Commission proposes changes, but retains third-country routes to EU access (22 November 2023)
3VB's finance column: How does a financial institution know when an insolvent client's complaint is time-barred? (15 May 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Allen & Overy's financial services investigations and enforcement column: December 2022 (19 December 2022)
Grant Murtagh's insurance column: October 2022 (28 October 2022)
Lucy Frew FinTech column: October 2022 (27 October 2022)
A&O decision insight: first regulatory enforcement action for non-financial misconduct in the workplace (20 September 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
ESG and financial regulation: top predictions for the future (18 November 2021)
Pinsent Masons' InsurTech column: September 2021 (27 September 2021)
Pollyanna Deane's insurance column: August 2021 (9 August 2021)
Pollyanna Deane's insurance column: July 2021 (15 July 2021)
Pollyanna Deane's insurance column: May 2021 (25 May 2021)
The COVID-19 business interruption insurance test case: the "lay of the land" post the Supreme Court judgment (8 March 2021)
Pollyanna Deane's insurance column: January 2021 (4 January 2021)
Court of Appeal overturns refusal to approve Prudential insurance business transfer to Rothesay Life (9 December 2020)
Pollyanna Deane's insurance column: November 2020 (12 November 2020)
Pollyanna Deane's insurance column: September 2020 (22 September 2020)
Pollyanna Deane's insurance column: August 2020 (7 August 2020)
Pollyanna Deane's insurance column: June 2020 (11 June 2020)
Pollyanna Deane's insurance column: February 2020 (26 February 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Pollyanna Deane's insurance column: December 2019 (19 December 2019)
InsurTech 2019: where are we now? (28 November 2019)
Insurers should review cloud contracts with EIOPA guidance in mind (22 October 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Recommended response to FCA warning to firms operating in general insurance sector (1 May 2019)
Pollyanna Deane's insurance column: March 2019 (29 March 2019)
Pollyanna Deane's insurance column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pollyanna Deane's insurance column: September 2018 (7 September 2018)
Pollyanna Deane's insurance column: July 2018 (25 July 2018)
Pollyanna Deane's insurance column: June 2018 (8 June 2018)
Pollyanna Deane's insurance column: March 2018 (15 March 2018)
Regulatory challenges of AI for the insurance industry (26 February 2018)
Pollyanna Deane's insurance column: January 2018 (12 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Pollyanna Deane's insurance column: SM&CR: November 2017 (28 November 2017)
Pollyanna Deane's insurance column: October 2017 (9 October 2017)
New insurance linked securities (ILS) regime (4 September 2017)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Pollyanna Deane's insurance column: June 2017 (1 June 2017)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Pollyanna Deane's insurance column: March 2017 (13 March 2017)
InsurTech: where are we now? (18 January 2017)
Pollyanna Deane's insurance column: January 2017 (16 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Pollyanna Deane's insurance column: November 2016 (28 November 2016)
Rotten apples and regulatory references (10 October 2016)
Insurance Act 2015: shifting the balance (29 September 2016)
Gough Square Chambers' consumer credit column: September 2016 (7 September 2016)
Pollyanna Deane's insurance column: August 2016 (31 August 2016)
Insurance Distribution Directive: key reforms and impact on UK firms (23 August 2016)
Limitation periods for making an insurance/reinsurance claim (1 August 2016)
Pollyanna Deane's insurance column: Brexit vote June 2016 (29 June 2016)
Gough Square Chambers' consumer credit column: June 2016 (7 June 2016)
Pollyanna Deane's insurance column: June 2016 (1 June 2016)
Pollyanna Deane's insurance column: March 2016 (1 March 2016)
Reforms to UK insurance law: overview of key changes (1 March 2016)
Regulatory references: rolling bad apples will keep on rolling (26 January 2016)
Lucy Frew's FinTech column: December 2015 (18 December 2015)
Pollyanna Deane's insurance column: December 2015 (15 December 2015)
UK implementation of Solvency II remuneration requirements (10 November 2015)
Pollyanna Deane's insurance column: September 2015 (22 September 2015)
Pollyanna Deane's insurance column: July 2015 (28 July 2015)
Bancassurance in Argentina (1 July 2015)
Pollyanna Deane's insurance column: May 2015 (12 May 2015)
Recovery and resolution plans for insurers (1 May 2015)
Pollyanna Deane's insurance column: March 2015 (6 March 2015)
Pollyanna Deane's insurance column: December 2014 (19 December 2014)
Pollyanna Deane's insurance column: October 2014 (30 October 2014)
Pollyanna Deane's insurance column: August 2014 (28 August 2014)
Pollyanna Deane's insurance column: June 2014 (6 June 2014)
Solvency II: A guide to the legal process and next steps (4 April 2014)
Pollyanna Deane's insurance column: March 2014 (7 March 2014)
Pollyanna Deane's insurance column: December 2013 (16 December 2013)
Solvency II trialogue discussions conclude: so what happens now? (3 December 2013)
Pollyanna Deane's insurance column: September 2013 (24 September 2013)
Pollyanna Deane's insurance column: April 2013 (17 April 2013)
Pollyanna Deane's insurance column: February 2013 (21 February 2013)
With-profits mutuals: FSA has "road to Damascus" experience (16 January 2013)
Pollyanna Deane's insurance column: October 2012 (3 October 2012)
Solvency II: FSA's proposals for with-profits business (29 August 2012)
Pollyanna Deane's insurance column: August 2012 (15 August 2012)
White paper on banking reform: potential implications for insurers (8 August 2012)
Pollyanna Deane's insurance column: June 2012 (2 June 2012)
Richard Mawrey QC's consumer credit column: May 2012 (1 May 2012)
Pollyanna Deane's insurance column: April 2012 (5 April 2012)
Pollyanna Deane's insurance column: February 2012 (1 February 2012)
Solvency II: group supervision and equivalence (11 January 2012)
Pollyanna Deane's insurance column: December 2011 (2 December 2011)
Solvency II delay: what does it mean for firms? (29 November 2011)
The final report of the Independent Commission on Banking: implications for the insurance sector (19 October 2011)
Pollyanna Deane's insurance column: October 2011 (4 October 2011)
Pollyanna Deane's insurance column: August 2011 (2 August 2011)
What next for firms following the judicial review on PPI? (6 June 2011)
The race for the Triple Crown: horses, high stakes and PPI (3 June 2011)
Pollyanna Deane's insurance column: June 2011 (1 June 2011)
Finance Bill highlights: CFCs and branch profits (26 May 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
Pollyanna Deane's insurance column: April 2011 (15 April 2011)
Ask the team: Should UK occupational pension schemes worry about Solvency II? (24 March 2011)
Back to the future (9 March 2011)
Ask the team: Does my client have the freedom to choose his lawyer when using BTE insurance? (1 June 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
Court confirms Aviva inherited estate reattribution (20 November 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
Fair value accounting: what's all the fuss about? (29 April 2009)
Ian Mason's financial services and compliance column: April 2009 (On scrapping cars and directives) (27 April 2009)

Investigations and enforcement

Simmons & Simmons' market abuse column: November 2023 (13 November 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Allen & Overy's financial services investigations and enforcement column: December 2022 (19 December 2022)
FCA fines Chair of listed company for market abuse (24 November 2022)
A&O decision insight: Upper Tribunal upholds FCA's decision to ban financial adviser for non-financial misconduct (20 September 2022)
A&O decision insight: first regulatory enforcement action for non-financial misconduct in the workplace (20 September 2022)
Ian Mason's market conduct column: July 2022 (12 July 2022)
Ian Mason's market conduct column: March 2022 (10 March 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
Ashurst's financial crime column: July 2021 (9 July 2021)
Ian Mason's market conduct column: April 2021 (28 April 2021)
Slaughter and May's banking and investment services column: April 2021(27 April 2021)
FCA starts first criminal proceedings under Money Laundering Regulations (22 April 2021)
Ashurst's financial crime column: January 2021 (15 January 2021)
Allen & Overy's financial services investigations and enforcement column: December 2020 (8 December 2020)
Conducting remote financial services investigations in a post-COVID-19 world (10 November 2020)
Ian Mason's market conduct column: June 2020 (24 June 2020)
Advocate General suggests unilateral variation of terms in payment services contracts should be limited to non-essential changes (22 May 2020)
Ian Mason's market conduct column: April 2020 (14 April 2020)
New EU Whistleblowing Directive: what UK financial services firms need to know (4 February 2020)
Ian Mason's market conduct column: January 2020 (7 January 2020)
Non-financial misconduct: FCA continues its focus and confirms open enforcement investigations (18 November 2019)
Ian Mason's market conduct column: June 2019 (25 June 2019)
FCA Enforcement: is it fit for purpose? (12 June 2019)
Recommended response to FCA warning to firms operating in general insurance sector (1 May 2019)
CMS' financial services investigations and enforcement column: May 2019 (1 May 2019)
Pollyanna Deane's insurance column: March 2019 (29 March 2019)
Pollyanna Deane's insurance column: January 2019 (17 January 2019)
Bryan Cave Leighton Paisner's corporate crime and investigations column: October 2018 (12 October 2018)
CMS' financial services investigations and enforcement column: September 2018 (10 September 2018)
Ian Mason's market conduct column: September (4 September 2018)
SMEs and banks: balancing the scales (3 September 2018)
Know your GDPR: self-reporting and enforcement considerations for contentious regulatory lawyers (26 June 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Ian Mason's market conduct column: December 2017 (19 December 2017)
BLP Corporate Crime & Investigations column: December 2017 (1 December 2017)
BLP Corporate Crime & Investigations column: July 2017 (7 July 2017)
Slaughter and May's banking and investment services column: June 2017 (20 June 2017)
BLP Corporate Crime & Investigations column: April 2017 (24 April 2017)
FCA v Macris: practical implications of Supreme Court's judgment for regulators, firms and individuals (6 April 2017)
Law Society practice note on legal professional privilege: call-to-arms or helpful restatement? (15 March 2017)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Alison McHaffie's financial services investigations and enforcement column: February 2017 (28 February 2017)
Property Alliance Group v RBS: key aspects of High Court's judgment and implications for similar claims (30 January 2017)
BLP Corporate Crime & Investigations column: January 2017 (6 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Internal investigations and privilege: big challenges ahead (14 December 2016)
European Account Preservation Orders: are you ready? (6 December 2016)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
BLP Corporate Crime & Investigations column: October 2016 (19 October 2016)
Ian Mason's market conduct column: July 2016 (14 July 2016)
Amendments to the Act on the Protection of Personal Information and Relevant Issues (1 July 2016)
BLP Corporate Crime & Investigations column: July 2016 (1 July 2016)
BLP Corporate Crime & Investigations column: April 2016 (8 April 2016)
London's Financial List: a choice of forum crossroads (24 March 2016)
Alison McHaffie's financial services investigations and enforcement column: March 2016 (23 March 2016)
Financial services litigation: the key trends of 2015 (28 January 2016)
Deferred prosecution agreements (DPAs) (1 December 2015)
Latest developments and alternative ways in asset recovery in Turkey (1 December 2015)
Alison McHaffie's financial services investigations and enforcement column: November 2015 (24 November 2015)
Corporate investigations: key issues for boards and in-house lawyers (29 October 2015)
Corporate crime reporting (1 October 2015)
The new Brazilian Anti-Corruption Act: overview (1 October 2015)
SFO enforcement: has the tanker turned? (24 September 2015)
LIBOR conviction: a watershed in the saga? (27 August 2015)
New criteria for FCA enforcement: will they make a difference? (27 August 2015)
Whistleblower policies in Turkey: the employment, criminal law and data protection perspectives (1 July 2015)
Investment and corporate banking: the FCA studies the market (25 June 2015)
Berwin Leighton Paisner's corporate crime and investigations column: June 2015 (22 June 2015)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity (21 May 2015)
The FCA's new strategic approach: challenging times (30 April 2015)
Market abuse: a tough new regime (26 February 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Review of FCA and PRA enforcement processes: HM Treasury findings and recommendations (16 February 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
Alison McHaffie's financial services investigations and enforcement column: November 2014 (25 November 2014)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
Pollyanna Deane's insurance column: October 2014 (30 October 2014)
FCA and PRA confirm approaches to tackling serious failings in standards, governance and culture in firms (7 July 2014)
Pollyanna Deane's insurance column: March 2014 (7 March 2014)
Berwin Leighton Paisner's corporate crime and investigations column: January 2014 (22 January 2014)
Ben Kingsley's banking and investment services column: January 2014 (6 January 2014)
Enforcement warning notices: FCA confirms approach to publishing information (31 October 2013)
Berwin Leighton Paisner's corporate crime and investigations column: October 2013 (18 October 2013)
Ben Kingsley's banking and investment services column: October 2013 (2 October 2013)
FCA's Dear CEO letter on outsourcing - an overview and practical steps for asset managers (6 September 2013)
Berwin Leighton Paisner's corporate crime and investigations column: August 2013 (29 August 2013)
Berwin Leighton Paisner's corporate crime and investigations column: June 2013 (18 June 2013)
Ian Mason's financial services and compliance column: June 2013 (3 June 2013)
Ian Mason's financial services and compliance column: April 2013 (18 April 2013)
Berwin Leighton Paisner's corporate crime and investigations column: April 2013 (10 April 2013)
Berwin Leighton Paisner's corporate crime and investigations column: February 2013 (19 February 2013)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Berwin Leighton Paisner's corporate crime and investigations column: December 2012 (20 December 2012)
Ian Mason's financial services and compliance column: December 2012 (20 December 2012)
Bribery: a guide to self-reporting in the light of DPAs and the new SFO policy (3 December 2012)
Ian Mason's financial services and compliance column: November 2012 (27 November 2012)
Richard Mawrey QC's consumer credit column: November 2012 (1 November 2012)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
Berwin Leighton Paisner's corporate crime and investigations column: October 2012 (12 October 2012)
Ben Kingsley's banking and investment services column: September 2012 (13 September 2012)
Ian Mason's financial services and compliance column: August 2012 (17 August 2012)
Berwin Leighton Paisner's corporate crime and investigations column: August 2012 (3 August 2012)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)
Ian Mason's financial services and compliance column: July 2012 (10 July 2012)
Berwin Leighton Paisner's corporate crime and investigations column: June 2012 (13 June 2012)
Pollyanna Deane's insurance column: June 2012 (2 June 2012)
Financial Ombudsman Service: key recent developments (23 May 2012)
Ben Kingsley's banking and investment services column: May 2012 (10 May 2012)
Ian Mason's financial services and compliance column: May 2012 (4 May 2012)
Richard Mawrey QC's consumer credit column: May 2012 (1 May 2012)
Berwin Leighton Paisner's corporate crime and investigations column: April 2012 (3 April 2012)
Market abuse: the Greenlight case - the final punch? (20 February 2012)
Berwin Leighton Paisner's corporate crime and investigations column: February 2012 (8 February 2012)
Pollyanna Deane's insurance column: February 2012 (1 February 2012)
Market abuse: the Greenlight/Einhorn case (26 January 2012)
Ian Mason's financial services and compliance column: January 2012 (Some predictions for 2012) (9 January 2012)
Ben Kingsley's banking and investment services column: December 2011 (12 December 2011)
Ben Kingsley's banking and investment services column: October 2011 (28 September 2011)
Financial regulatory reform: enforcement checks and balances (1 September 2011)
Barclays - A practical approach to records management (2 May 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
FSA enforcement: new penalty framework bites (24 March 2010)
Ian Mason's financial services and compliance column: January 2010 (The Intrusive Approach - how it is looking for 2010) (29 January 2010)
Ian Mason's financial services and compliance column: December 2009 (The FSA: Ten predictions for 2010) (23 December 2009)
Raj Rajaratnam's arrest: can the FSA match the might of the SEC? (26 November 2009)
Ian Mason's financial services and compliance column: November 2009 (Living in Hector's House of Culture and Ethics) (23 November 2009)
No financial penalty for bond traders found to have engaged in market abuse: implications for the reasonable grounds defence (7 October 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
M&A due diligence: assessing compliance and corruption risk (26 August 2009)
Ian Mason's financial services and compliance column: May 2009 (The regulatory risks of a long lunch and other stories) (29 May 2009)
Ian Mason's financial services and compliance column: March 2009 (The Turner Review: some unanswered questions) (30 March 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)
Ian Mason's financial services and compliance column: February 2009 (The FSA Business Plan and Financial Risk Outlook 2009: some important bed-time reading for firms) (18 February 2009)
Something is rotten in the state of New York (13 January 2009)

Investment funds and asset management

The SEC's new private funds rules on preferential treatment: how do they compare with the AIFMD? (13 September 2023)
Slaughter and May's banking and investment services column: March 2023 (20 March 2023)
Melville Rodrigues' fund management column: March 2023 (15 March 2023)
Labelling of ESG funds: the US, UK and EU approaches (23 February 2023)
Practical Law Financial Services: what to expect in 2023 (20 December 2022)
Melville Rodrigues' fund management column: December 2022 (20 December 2022)
Ashurst's sustainable finance column: November 2022 (8 November 2022)
Grant Murtagh's insurance column: October 2022 (28 October 2022)
Melville Rodrigues' fund management column: October 2022 (14 October 2022)
Top 10 things asset managers need to know about scope of new FCA consumer duty (16 September 2022)
Melville Rodrigues' fund management column: August 2022 (31 August 2022)
MiFID II sustainability preferences: putting ESG at the centre of the sales process (4 July 2022)
AIFMD: An Increasingly Friendly Modifying Directive and Another Involved Fund Marketing Demand (13 June 2022)
Melville Rodrigues' fund management column: April 2022 (27 April 2022)
Melville Rodrigues' fund management column: March 2022 (9 March 2022)
ESG and financial regulation: top predictions for the future (18 November 2021)
Melville Rodrigues' fund management column: October 2021 (8 October 2021)
Establishing a branch under AIFMD and MiFID (17 September 2021)
UK Investment Firms Prudential Regime (IFPR): 10 step plan for investment managers (15 September 2021)
Melville Rodrigues' fund management column: July 2021 (28 July 2021)
ESMA guidance on fund marketing communications: what fund managers need to know (16 June 2021)
The PRIIPs Regulation and the funds industry (10 June 2021)
Melville Rodrigues' fund management column: June 2021 (7 June 2021)
Melville Rodrigues' fund management column: May 2021 (25 May 2021)
Melville Rodrigues' fund management column: March 2021 (23 March 2021)
How UK financial services regulators are responding to climate change (12 March 2021)
Melville Rodrigues' fund management column: January 2021 (20 January 2021)
Melville Rodrigues' fund management column: December 2020 (11 December 2020)
Melville Rodrigues' fund management column: September 2020 (29 September 2020)
Melville Rodrigues' fund management column: August 2020 (4 August 2020)
AIFMD under review (3 July 2020)
COVID-19: key considerations for fund managers (27 May 2020)
Professional Investor Fund explained (20 May 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Pushing the boundaries of FCA regulation (26 June 2019)
Cross-border distribution of AIFs and UCITS – views on the new rules approved by European Parliament (10 May 2019)
Latest shake-up of remuneration provisions for banks and investment firms (21 March 2019)
Monica Gogna at Dechert: asset management column: January 2019 (22 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Brexit: the Avoidable Inessential Futile Maddening Directive (AIFMD) continues (23 November 2018)
Ian Mason's market conduct column: September (4 September 2018)
Monica Gogna at Dechert: asset management column: May 2018 (23 May 2018)
Cross-border distribution of funds: marketing AIFs might get more nonsensical (13 March 2018)
On a scale of 1-5 how satisfied are you with AIFMD? Vote now! (27 February 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Monica Gogna at Dechert: asset management column: December 2017 (12 December 2017)
MiFID II investment research costs: to pay or not to pay? (20 November 2017)
Pollyanna Deane's insurance column: June 2017 (1 June 2017)
Lucy Frew's FinTech column: April 2017 (18 April 2017)
Monica Gogna at Dechert: asset management column: February 2017 (20 February 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Recent Developments in the Bermuda Investment Fund Industry (1 September 2016)
Monica Gogna at Dechert: asset management column: July 2016 (15 July 2016)
Important changes to the regulations relating to funds for professional investors (1 May 2016)
Limited partnership reforms: implications for private funds (28 April 2016)
Continuing impact of US Dodd-Frank and other reforms on alternative investment vehicles: a brief guide (1 March 2016)
Investment funds Country Q&A tool (1 March 2016)
Pollyanna Deane's insurance column: March 2016 (1 March 2016)
Rules for the marketing of local hedge funds (1 March 2016)
Rules for the marketing of local retail funds (1 March 2016)
Tax treatment for open-ended and closed-ended retail funds and hedge funds (1 March 2016)
Monica Gogna at Dechert: asset management column (4 February 2016)
A brief guide to marketing investment funds in the EU (1 February 2016)
European long-term investment funds (ELTIFs): from political ambition to practical implementation (8 December 2015)
Convertible and exchangeable bonds: market practice and common structures (29 October 2015)
Monica Gogna at Dechert: asset management column: August 2015 (18 August 2015)
The impact of MiFID II on Luxembourg management companies (1 August 2015)
EU regulation for listed companies: planning for change (25 June 2015)
Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity (21 May 2015)
Monica Gogna at Dechert: asset management column: April 2015 (13 April 2015)
Dealing commission: where next under MiFID II? (28 January 2015)
Monica Gogna at Dechert: asset management column: January 2015 (28 January 2015)
Joint ventures: regulation under the AlFM Directive (27 November 2014)
MiFID: keeping pace with a changing world (23 October 2014)
MiFID II and MiFIR: preparing for change (26 June 2014)
Ben Kingsley's banking and investment services column: May 2014 (28 May 2014)
ESMA guidelines on ETFs and other UCITS issues (20 May 2014)
Trusts: the commercial applications (24 April 2014)
Crowdfunding: regulating peer-to-peer and peer-to-business lending (27 March 2014)
AIFM Directive: unfairly targeting private equity? (27 February 2014)
Client money trusts: time for a rethink? (30 January 2014)
Ben Kingsley's banking and investment services column: January 2014 (6 January 2014)
The collective wisdom of the crowds: the regulation of crowdfunding (5 November 2013)
Pollyanna Deane's insurance column: September 2013 (24 September 2013)
FCA consultation on amendments to the AIFM Remuneration Code and draft guidance on proportionality (18 September 2013)
European Money Market Fund Regulation: Initial Assessment (9 September 2013)
FCA's Dear CEO letter on outsourcing - an overview and practical steps for asset managers (6 September 2013)
Countdown to the AIFM Directive - HM Treasury's revised implementing Regulations (17 May 2013)
Pollyanna Deane's insurance column: April 2013 (17 April 2013)
Berwin Leighton Paisner's corporate crime and investigations column: April 2013 (10 April 2013)
Countdown to the AIFM Directive – Level 2 Regulation (19 December 2012)
UCITS V: key points and comparison with AIFM Directive (9 July 2012)
Ben Kingsley's banking and investment services column: May 2012 (10 May 2012)
Lehman client money judgment: Supreme Court upholds Court of Appeal decision (5 March 2012)
Farewell to the old private adviser exemption: SEC final rules implement Dodd-Frank exemptions to adviser registration (17 February 2012)
Ian Mason's financial services and compliance column: January 2012 (Some predictions for 2012) (9 January 2012)
OEICs: Introduction of the protected cell regime (9 January 2012)
Exchange traded funds: are regulators right to be concerned? (26 October 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
New trends in prime brokerage in the UK (2 December 2009)
Bureaucrats at the gate: regulating alternative investment funds (26 November 2009)
International regulation of offshore financial centres: recent developments in the field of tax information exchange (16 September 2009)
Adapting to tough times: current trends in hedge funds (23 July 2009)
Ian Mason's financial services and compliance column: April 2009 (On scrapping cars and directives) (27 April 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)
Something is rotten in the state of New York (13 January 2009)

Listing, Prospectus and Disclosure and Transparency Rules

An analysis of covered bonds and the US market (1 July 2018)
Crowdfunding: an alternative source of financing (29 September 2016)
Brexit: losing our passport (4 August 2016)
Prospectus content requirements (1 June 2016)
Real estate investment trusts (REITs) in Indonesia: an overview (1 June 2016)
Requirements for a public offering of bonds in Japan and recent developments (1 June 2016)
Stock exchanges and regulatory authorities by jurisdiction (1 June 2016)
Withholding tax on interest and stamp/transfer duties relating to debt instruments (1 June 2016)
Contingent capital securities: an overview (1 April 2016)
Notification obligations for major holdings and sanction practices in Germany (1 April 2016)
Accessing capital markets from Bermuda: tax system regulatory structure and legal regime for listed companies (1 February 2016)
Capital markets union: action plan and legislative proposals unveiled (29 October 2015)
Secondary equity offerings: what's changed in 2015 (24 September 2015)
Regulations of market in the DIFC (1 September 2015)
Recent advancements in securities litigation in Italy (1 July 2015)
EU regulation for listed companies: planning for change (25 June 2015)
EU capital markets union: prospectus regime under review (26 March 2015)
Corporate governance: learning lessons from the past and looking to the future (23 October 2014)
EURO PP: a new market in France (1 September 2014)
Unsolicited takeovers: lessons from the US (23 July 2014)
The controlling shareholder: a complex relationship for listed companies (26 June 2014)
A tipping point in US capital markets: the impact of the JOBS Act on foreign issuers (1 June 2014)
Preparing a company for an IPO and listing (1 June 2014)
Recent decisions of Italian courts on interest rate swaps analysis (1 June 2014)
Amended Listing Rules: enhancing effectiveness (29 May 2014)
FCA enforcement: a tough new trend (29 May 2014)
Crowdfunding: regulating peer-to-peer and peer-to-business lending (27 March 2014)
Relationship agreements: a new look (30 January 2014)
Corporate governance: a long way to go? (1 September 2011)
Prospectus Rules: changes to the employee exemption (1 September 2011)
Shadow directors: keeping on the sidelines (1 September 2011)
Equity financing of acquisitions: key transaction execution issues (26 May 2011)
Rights issues reform: where are we? (26 May 2011)
Equity financing of acquisitions: impact on offering structures (28 April 2011)
The standard listing regime: a third way? (26 January 2011)
UK listing regime: premium or standard class? (28 October 2009)

Market conduct

Simmons & Simmons' market abuse column: November 2023 (13 November 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Lucy Frew FinTech column: February 2023 (14 February 2023)
FCA fines Chair of listed company for market abuse (24 November 2022)
Ian Mason's market conduct column: March 2022 (10 March 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
Ian Mason's market conduct column: April 2021 (28 April 2021)
Ashurst's financial crime column: January 2021 (15 January 2021)
Allen & Overy's financial services investigations and enforcement column: December 2020 (8 December 2020)
Challenges ahead: the changing risk of financial crime (15 October 2020)
Ian Mason's market conduct column: June 2020 (24 June 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Ian Mason's market conduct column: April 2020 (14 April 2020)
New EU Whistleblowing Directive: what UK financial services firms need to know (4 February 2020)
Ian Mason's market conduct column: January 2020 (7 January 2020)
Ian Mason's market conduct column: June 2019 (25 June 2019)
FCA Enforcement: is it fit for purpose? (12 June 2019)
Ian Mason's market conduct column: September 2018 (4 September 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
PAG v RBS: Court of Appeal dismisses IRHP misselling and LIBOR manipulation claim (8 March 2018)
Ian Mason's market conduct column: February 2018 (7 February 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Ian Mason's market conduct column: December 2017 (19 December 2017)
Ian Mason's market conduct column: June 2017 (8 June 2017)
Property Alliance Group v RBS: key aspects of High Court's judgment and implications for similar claims (30 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
GC100: round table discussion on inside information (20 December 2016)
MAR: how are AIM companies dealing with the Market Abuse Regulation? (20 December 2016)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Ian Mason's market conduct column: December 2016 (1 December 2016)
Slaughter and May's banking and investment services column: August 2016 (2 August 2016)
The new market abuse regime: a long road for financial institutions to navigate (28 July 2016)
Ian Mason's market conduct column: July 2016 (14 July 2016)
Amendments to the Act on the Protection of Personal Information and Relevant Issues (1 July 2016)
Market Abuse Regulation: ensuring compliance amidst uncertainty (30 June 2016)
GC100: results of a members' poll on the Market Abuse Regulation (28 June 2016)
MAR: what are companies doing in preparation for the Market Abuse Regulation (7 June 2016)
Deferred prosecution agreements (DPAs) (1 December 2015)
Latest developments and alternative ways in asset recovery in Turkey (1 December 2015)
Corporate crime reporting (1 October 2015)
The new Brazilian Anti-Corruption Act: overview (1 October 2015)
Whistleblower policies in Turkey: the employment, criminal law, and data protection perspectives (1 July 2015)
EU regulation for listed companies: planning for change (25 June 2015)
The Fair and Effective Markets Review: the results are in (25 June 2015)
Berwin Leighton Paisner's corporate crime and investigations column: June 2015 (22 June 2015)
Asset management firms and the risk of market abuse: key practical points from the FCA's thematic review feedback and recent FCA enforcement activity (21 May 2015)
The FCA's new strategic approach: challenging times (30 April 2015)
Market abuse: a tough new regime (26 February 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
Review of FCA and PRA enforcement processes: HM Treasury findings and recommendations (16 February 2015)
Social media and securities laws: navigating the risks (29 January 2015)
Berwin Leighton Paisner's corporate crime and investigations column: January 2015 (26 January 2015)
Alison McHaffie's financial services investigations and enforcement column: November 2014 (25 November 2014)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
MiFID II Briefing Series: the ESMA proposals (Part 2) (29 July 2014)
MiFID II Briefing Series: the MiFID II review (Part 1) (3 June 2014)
The European Court's dismissal of the UK's challenge to the Short Selling Regulation (11 April 2014)
Berwin Leighton Paisner's corporate crime and investigations column: January 2014 (22 January 2014)
Ben Kingsley's banking and investment services column: January 2014 (6 January 2014)
Berwin Leighton Paisner's corporate crime and investigations column: October 2013 (18 October 2013)
Ben Kingsley's banking and investment services column: October 2013 (2 October 2013)
Ben Kingsley's banking and investment services column: June 2013 (28 June 2013)
Berwin Leighton Paisner's corporate crime and investigations column: April 2013 (10 April 2013)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Berwin Leighton Paisner's corporate crime and investigations column: December 2012 (20 December 2012)
Ian Mason's financial services and compliance column: December 2012 (20 December 2012)
Ian Mason's financial services and compliance column: August 2012 (22 August 2012)
Issues raised by two key consultations: ACER on REMIT and ESMA on EMIR (13 July 2012)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)
Ben Kingsley's banking and investment services column: May 2012 (10 May 2012)
Berwin Leighton Paisner's corporate crime and investigations column: April 2012 (3 April 2012)
European Commission's MAD revision proposals: practitioner analysis and comment (19 March 2012)
Ben Kingsley's banking and investment services column: March 2012 (15 March 2012)
Market abuse: the Greenlight case - the final punch? (20 February 2012)
Berwin Leighton Paisner's corporate crime and investigations column: February 2012 (8 February 2012)
Market abuse: the Greenlight/Einhorn case (26 January 2012)
Ian Mason's financial services and compliance column: January 2012 (Some predictions for 2012) (9 January 2012)
Ben Kingsley's banking and investment services column: December 2011 (12 December 2011)
The Vickers Report's Proposal to Ring Fence UK Banks: Comparison with US Banking Law (22 November 2011)
MiFID II review (Part 1): Changes proposed in relation to investor protection and the provision of investment services (4 November 2011)
MiFID II review (Part 2): Changes proposed in relation to markets (4 November 2011)
Ben Kingsley's banking and investment services column: October 2011 (28 September 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
MiFID under review: European Commission consultation (26 January 2011)
High frequency trading: the road to regulation? (27 October 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
Pre-Budget Report: key developments (26 January 2010)
Raj Rajaratnam's arrest: can the FSA match the might of the SEC? (26 November 2009)
Ian Mason's financial services and compliance column: November 2009 (Living in Hector's House of Culture and Ethics) (23 November 2009)
No financial penalty for bond traders found to have engaged in market abuse: implications for the reasonable grounds defence (7 October 2009)
Lehman and the hedge funds: a scheme too far? (1 October 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
Ian Mason's financial services and compliance column: May 2009 (The regulatory risks of a long lunch and other stories) (29 May 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Mortgages and Home Finance: Financial Services

Gough Square Chambers' consumer credit column: July 2023 (28 July 2023)
RPC's Financial Ombudsman Service column: FOS Covered: June 2023 (5 June 2023)
Robin Penfold's mortgage and home finance column: December 2022 (20 December 2022)
TLT mortgage and home finance column: August 2022 (31 August 2022)
TLT mortgage and home finance column: May 2022 (31 May 2022)
TLT mortgage and home finance column: February 2022 (24 February 2022)
TLT mortgage and home finance column: December 2021 (15 December 2021)
TLT mortgage and home finance column: October 2021 (29 October 2021)
TLT mortgage and home finance column: August 2021 (25 August 2021)
TLT mortgage and home finance column: June 2021 (30 June 2021)
TLT mortgage and home finance column: April 2021 (30 April 2021)
TLT mortgage and home finance column: February 2021 (25 February 2021)
TLT mortgage and home finance column: December 2020 (14 December 2020)
TLT mortgage and home finance column: October 2020 (27 October 2020)
TLT mortgage and home finance column: August 2020 (10 August 2020)
TLT mortgage and home finance column: June 2020 (29 June 2020)
TLT mortgage and home finance column: April 2020 (30 April 2020)
TLT mortgage and home finance column: February 2020 (28 February 2020)
TLT mortgage and home finance column: January 2020 (27 January 2020)
Gough Square Chambers' consumer credit column: January 2020 (23 January 2020)
TLT mortgage and home finance column: December 2019 (5 December 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Gough Square Chambers' consumer credit column: April 2017 (20 April 2017)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Gough Square Chambers' consumer credit column: June 2016 (7 June 2016)
Gough Square Chambers' consumer column: December 2015 (16 December 2015)
The challenge of treating vulnerable consumers appropriately (10 April 2015)
Current Trends in Banking Law Enforcement (15 October 2013)
TLT mortgage and home finance column: October 2020 (27 October 2020)

Payment services

RPC's Financial Ombudsman Service column: FOS Covered: September 2023 (4 September 2023)
Jake Ghanty's payment services and e-money column: April 2023 (11 April 2023)
UK cryptoasset regulation: coming sooner rather than later? (17 November 2022)
Privy Council decides that banks owe no Quincecare duty to a beneficial owner of monies in an account (26 May 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
Jake Ghanty's payment services and e-money column: December 2021 (22 December 2021)
Challenges ahead: the changing risk of financial crime (15 October 2020)
Jacob Ghanty's payment services and e-money column: July 2020 (9 July 2020)
Advocate General suggests unilateral variation of terms in payment services contracts should be limited to non-essential changes (22 May 2020)
Jacob Ghanty's payment services and e-money column: November 2019 (13 November 2019)
Time to clarify the legal status of cryptocurrencies? (31 October 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Jacob Ghanty's payment services and e-money column: March 2019 (6 March 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Bryan Cave Leighton Paisner's corporate crime and investigations column: October 2018 (12 October 2018)
Jacob Ghanty's payment services and e-money column: September 2018 (7 September 2018)
Lucy Frew's FinTech column: July 2018 (24 July 2018)
Jacob Ghanty's payment services and e-money column: February 2018 (22 February 2018)
Lucy Frew's FinTech column: February 2018 (8 February 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Jacob Ghanty's payment services and e-money column: November 2017 (30 November 2017)
Jacob Ghanty's payment services and e-money column: April 2017 (19 April 2017)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Jacob Ghanty's payment services and e-money column: November 2016 (7 November 2016)
Blockchain technology: emerging from the shadows (27 October 2016)
Blockchain technology and its regulation: introduction (26 August 2016)
New payment services regime: preparing for a revised landscape (28 July 2016)
Jacob Ghanty's payment services and e-money column: June 2016 (20 June 2016)
Capital markets union: action plan and legislative proposals unveiled (29 October 2015)
Jacob Ghanty's payment services and e-money column: October 2015 (19 October 2015)
The Greek crisis: an Achilles heel for British business? (23 July 2015)
Cryptocurrencies and mobile payments: all change (25 June 2015)
Jacob Ghanty's payment services and e-money column: June 2015 (3 June 2015)
Berwin Leighton Paisner's corporate crime and investigations column: January 2015 (26 January 2015)
Jacob Ghanty's payment services and e-money column: November 2014 (21 November 2014)
Jacob Ghanty's payment services and e-money column: June 2014 (12 June 2014)
Jacob Ghanty's payment services and e-money column: February 2014 (13 February 2014)
Jacob Ghanty's payment services and e-money column: October 2013 (30 October 2013)
Jacob Ghanty's payment services and e-money column: May 2013 (7 May 2013)
Jacob Ghanty's payment services and e-money column: September 2012 (24 August 2012)
Issues raised by two key consultations: ACER on REMIT and ESMA on EMIR (13 July 2012)
Ask the team: Are cheques definitely being abolished? (23 June 2011)
Payment Services Directive: ready for the new regime? (28 October 2009)
Electronic money transfer: hardwiring success (24 August 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Personal pensions

Top 10 things asset managers need to know about scope of new FCA consumer duty (16 September 2022)
Melville Rodrigues' fund management column: August 2022 (31 August 2022)
Court of Appeal overturns refusal to approve Prudential insurance business transfer to Rothesay Life (9 December 2020)
Pushing the boundaries of FCA regulation (26 June 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pan European Personal Pension Product (PEPP): seeking mobility (7 February 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Brexit: what pension schemes and sponsors need to know now (5 July 2016)
New pension flexibilities: opportunities and challenges (26 March 2015)

Prudential regulation

Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Grant Murtagh's insurance column: October 2022 (28 October 2022)
Jake Ghanty's payment services and e-money column: December 2021 (22 December 2021)
UK Investment Firms Prudential Regime (IFPR): 10 step plan for investment managers (15 September 2021)
Pollyanna Deane's insurance column: July 2021 (15 July 2021)
Slaughter and May's banking and investment services column: April 2021(27 April 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Pollyanna Deane's insurance column: January 2021 (4 January 2021)
Court of Appeal overturns refusal to approve Prudential insurance business transfer to Rothesay Life (9 December 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Pollyanna Deane's insurance column: December 2019 (19 December 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Pollyanna Deane's insurance column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Pollyanna Deane's insurance column: September 2018 (27 September 2018)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
Pollyanna Deane's insurance column: June 2018 (8 June 2018)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Pollyanna Deane's insurance column: June 2017 (1 June 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Pollyanna Deane's insurance column: November 2016 (10 November 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Pollyanna Deane's insurance column: June 2016 (1 June 2016)
Pollyanna Deane's insurance column: March 2016 (1 March 2016)
Pollyanna Deane's insurance column: December 2015 (15 December 2015)
Alison McHaffie's financial services investigations and enforcement column: November 2015 (24 November 2015)
UK implementation of Solvency II remuneration requirements (10 November 2015)
Pollyanna Deane's insurance column: September 2015 (22 September 2015)
Pollyanna Deane's insurance column: July 2015 (28 July 2015)
Pollyanna Deane's insurance column: May 2015 (12 May 2015)
Pollyanna Deane's insurance column: December 2014 (19 December 2014)
PRA and FCA remuneration proposals: overview and impact (11 December 2014)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
Pollyanna Deane's insurance column: October 2014 (30 October 2014)
CRD IV bankers' bonus cap: ECJ hears UK legal challenge (25 September 2014)
Pollyanna Deane's insurance column: August 2014 (28 August 2014)
Pollyanna Deane's insurance column: June 2014 (6 June 2014)
Solvency II: A guide to the legal process and next steps (4 April 2014)
CCP recovery plans (21 March 2014)
Pollyanna Deane's insurance column: March 2014 (7 March 2014)
Pollyanna Deane's insurance column: December 2013 (16 December 2013)
Solvency II trialogue discussions conclude: so what happens now? (3 December 2013)
Bonus cap: PRA and FCA announce details of UK implementation (22 October 2013)
Basel III Framework: US-EU Comparison (14 October 2013)
Pollyanna Deane's insurance column: September 2013 (24 September 2013)
FCA and PRA CRD IV consultations: remuneration aspects (20 August 2013)
Ben Kingsley's banking and investment services column: June 2013 (28 June 2013)
Ian Mason's financial services and compliance column: April 2013 (18 April 2013)
Pollyanna Deane's insurance column: February 2013 (21 February 2013)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Ian Mason's financial services and compliance column: October 2012 (31 October 2012)
Pollyanna Deane's insurance column: October 2012 (3 October 2012)
Solvency II: FSA's proposals for with-profits business (29 August 2012)
Pollyanna Deane's insurance column: August 2012 (15 August 2012)
White paper on banking reform: potential implications for insurers (8 August 2012)
Basel III and the New US Capital Framework Proposals (27 June 2012)
Pollyanna Deane's insurance column: June 2012 (2 June 2012)
Pollyanna Deane's insurance column: April 2012 (5 April 2012)
Pollyanna Deane's insurance column: February 2012 (1 February 2012)
Ben Kingsley's banking and investment services column: January 2012 (16 January 2012)
Solvency II: group supervision and equivalence (11 January 2012)
Pollyanna Deane's insurance column: December 2011 (2 December 2011)
Solvency II delay: what does it mean for firms? (29 November 2011)
The Vickers Report's Proposal to Ring Fence UK Banks: Comparison with US Banking Law (22 November 2011)
The final report of the Independent Commission on Banking: implications for the insurance sector (19 October 2011)
Pollyanna Deane's insurance column: October 2011 (4 October 2011)
Resolving the dilemma of British Banking: the final report of the Independent Commission on Banking (23 September 2011)
Financial regulatory reform: enforcement checks and balances (1 September 2011)
Pollyanna Deane's insurance column: August 2011 (2 August 2011)
Pollyanna Deane's insurance column: June 2011 (1 June 2011)
Ian Mason's financial services and compliance column: May 2011 (PRA regulation: what will it mean for firms?) (24 May 2011)
Maintaining regulatory focus: full practitioner comment (21 April 2011)
Maintaining regulatory focus: the FSA Business Plan 2011/12 and Risk Outlooks 2011 (21 April 2011)
Bankers' remuneration: the sky's no longer the limit (27 October 2010)
FSA Business Plan 2010/11: business as usual? (20 April 2010)
Views of leading financial services practitioners on the FSA's 2010 Financial Risk Outlook and 2010/11 Business Plan (20 April 2010)
Contingent convertible instruments and the brave new world of regulatory capital (6 April 2010)
Walker review: banks on best behaviour (27 January 2010)
Ian Mason's financial services and compliance column: December 2009 (The FSA: Ten predictions for 2010) (23 December 2009)
New trends in prime brokerage (2 December 2009)
Ian Mason's financial services and compliance column: September 2009 (A criminal approach by the FSA) (24 September 2009)
International regulation of offshore financial centres: recent developments in the field of tax information exchange (16 September 2009)
Adapting to tough times: current trends in hedge funds (23 July 2009)
Walker review: spotlight on banks' corporate governance (22 July 2009)
Core capital is king (26 May 2009)
Lehman Brothers - where are we and where are we going? (26 May 2009)
Fair value accounting: what's all the fuss about? (29 April 2009)
Ian Mason's financial services and compliance column: March 2009 (The Turner Review: some unanswered questions) (30 March 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Regulated activities

Ashurst's sustainable finance column: April 2023 (11 April 2023)
Lucy Frew FinTech column: February 2023 (14 February 2023)
Establishing a branch under AIFMD and MiFID (17 September 2021)
What EU proposals for an AI Regulation mean for financial services (10 June 2021)
Lucy Frew's FinTech column: July 2019 (12 July 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
Lucy Frew's FinTech column: February 2019 (28 February 2019)
Gough Square Chambers' consumer credit column: January 2019 (17 January 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
SMEs and banks: balancing the scales (3 September 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Blockchain technology: emerging from the shadows (27 October 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Senior managers and certification regime: food for thought for in-house lawyers (25 February 2016)
Gough Square Chambers' consumer credit column: February 2016 (9 February 2016)
Cryptocurrencies and mobile payments: all change (25 June 2015)
Financial promotions and social media: mind how you tweet (26 March 2015)
Social media and securities laws: navigating the risks (29 January 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
Joint ventures: regulation under the AlFM Directive (27 November 2014)
Senior managers regime: widening the scope (27 November 2014)
MiFID: keeping pace with a changing world (23 October 2014)
Ben Kingsley's banking and investment services column: July 2014 (28 July 2014)
Consumer credit: the FCA takes charge (23 July 2014)
Are all loan agreements debentures? (15 July 2014)
Consumer credit: FCA takes over regulation (27 March 2014)
Crowdfunding: regulating peer-to-peer and peer-to-business lending (27 March 2014)
Virtual currencies: the other side of the coin (24 October 2013)
Crowdfunding: possibilities and prohibitions (24 October 2012)
The FSA as moral guardian: a route map for cultural change? (26 September 2012)
Financial regulatory reform: enforcement checks and balances (1 September 2011)
Pensions in practice: Promoting pensions to employees within FSA rules is now easier (28 June 2010)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)

Regulatory regime: Financial services

RPC's Financial Ombudsman Service column: FOS Covered: October 2023 (4 October 2023)
Ashurst's sustainable finance column: September 2023 (18 September 2023)
Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
Ashurst's sustainable finance column: July 2023 (6 July 2023)
Ashurst's sustainable finance column: April 2023 (11 April 2023)
Lucy Frew FinTech column: February 2023 (14 February 2023)
UK cryptoasset regulation: coming sooner rather than later? (17 November 2022)
Lucy Frew FinTech column: October 2022 (27 October 2022)
FCA consumer duty: back to the future? (26 October 2022)
FCA consumer duty: developing a credible plan for the board (4 October 2022)
Top 10 things asset managers need to know about scope of new FCA consumer duty (16 September 2022)
Establishing a branch under AIFMD and MiFID (17 September 2021)
Driving meaningful change in diversity and inclusion in the financial sector: the regulators' proposals (19 July 2021)
Slaughter and May's banking and investment services column: April 2021 (27 April 2021)
Firms should prepare for more scrutiny as FCA identifies culture dividend from diversity and inclusion (13 April 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
COVID-19: key considerations for fund managers (27 May 2020)
Regulatory action in the UK: how the FCA makes decisions (20 January 2020)
Time to clarify the legal status of cryptocurrencies? (31 October 2019)
Lucy Frew's FinTech column: July 2019 (12 July 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Pushing the boundaries of FCA regulation (26 June 2019)
FCA Enforcement: is it fit for purpose? (12 June 2019)
Lucy Frew's FinTech column: February 2019 (28 February 2019)
Lucy Frew's FinTech column: July 2018 (24 July 2018)
Know your GDPR: self-reporting and enforcement considerations for contentious regulatory lawyers (26 June 2018)
GDPR and financial institutions: the top five issues (22 May 2018)
Slaughter and May's banking and investment services column: March 2018 (6 March 2018)
Lucy Frew's FinTech column: February 2018 (8 February 2018)
Pollyanna Deane's insurance column: January 2018 (12 January 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Pollyanna Deane's insurance column: June 2017 (1 June 2017)
Lucy Frew's FinTech column: April 2017 (18 April 2017)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Senior managers and certification regime: Scaling up (7 March 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
Blockchain technology and its regulation: introduction (26 August 2016)
Brexit: what next for boards? (28 July 2016)
The new market abuse regime: a long road for financial institutions to navigate (28 July 2016)
Brexit: implications for financial services regulation (27 July 2016)
What do regulated firms need to know about the General Data Protection Regulation? (25 July 2016)
Monica Gogna at Dechert: asset management column: July 2016 (15 July 2016)
The senior managers regime and the general counsel role (15 July 2016)
Robo-advice: back to the future (28 April 2016)
Brexit and legislative policy-making: is the government ready to go it alone? (25 February 2016)
Britain's new relationship with Europe: what could the future look like? (25 February 2016)
Senior managers and certification regime: food for thought for in-house lawyers (25 February 2016)
Informal trialogues during the ordinary legislative procedure (10 February 2016)
Plus ça change: the legal implications of remaining within the EU (5 February 2016)
The FCA's new concurrent competition powers: what might financial services firms expect? (25 November 2015)
Brexit: implications for regulation of financial services in UK (29 June 2015)
EU regulation for listed companies: planning for change (25 June 2015)
The Fair and Effective Markets Review: the results are in (25 June 2015)
The FCA's new strategic approach: challenging times (30 April 2015)
The challenge of treating vulnerable consumers appropriately (10 April 2015)
Consumer credit: The new regime 12 months on (31 March 2015)
Financial promotions and social media: mind how you tweet (26 March 2015)
Market abuse: a tough new regime (26 February 2015)
Social media and securities laws: navigating the risks (29 January 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
Proposed new FCA and PRA senior managers and certification regime: employment implications (11 December 2014)
Joint ventures: regulation under the AlFM Directive (27 November 2014)
Senior managers regime: widening the scope (27 November 2014)
M&A in banking: change of control regime (23 October 2014)
MiFID: keeping pace with a changing world (23 October 2014)
M&A in banking: valuing financial institutions (25 September 2014)
M&A in banking: managing completion risk (28 August 2014)
Personal accountability: FCA and PRA consult on new regime (28 August 2014)
European Parliament: outcome of elections and effect on pending and new legislative files (26 August 2014)
Consumer credit: the FCA takes charge (23 July 2014)
FCA and PRA confirm approaches to tackling serious failings in standards, governance and culture in firms (7 July 2014)
MiFID II Briefing Series: the MiFID II review (Part 1) (3 June 2014)
FCA warning notices: on target or wide of the mark? (24 April 2014)
The European Court's dismissal of the UK's challenge to the Short Selling Regulation (11 April 2014)
Consumer credit: FCA takes over regulation (27 March 2014)
EU elections in 2014 (12 March 2014)

Remuneration

Ashurst's sustainable finance column: March 2023 (1 March 2023)
ESG and financial regulation: top predictions for the future (18 November 2021)
Recommended response to FCA warning to firms operating in general insurance sector (1 May 2019)
Latest shake-up of remuneration provisions for banks and investment firms (21 March 2019)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Pollyanna Deane's insurance column: June 2016 (1 June 2016)
Employee incentive disputes: five key tips (26 May 2016)
UK implementation of Solvency II remuneration requirements (10 November 2015)
Executive pay: further regulation for key staff at UK banks (23 July 2015)
MiFID II Briefing Series: FCA discussion paper on MiFID II conduct of business and organisational requirements (Part 4) (22 April 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
PRA and FCA remuneration proposals: overview and impact (11 December 2014)
Remuneration reporting: current practice and future trends (27 November 2014)
Bonus clawback in operation: taxing negative earnings (23 October 2014)
CRD IV bankers' bonus cap: ECJ hears UK legal challenge (8 September 2014)
MiFID II Briefing Series: the ESMA proposals (Part 2) (29 July 2014)
Clawback of bonuses: the claws are out (26 June 2014)
Employee bonuses and incentives: a question of contractual force (24 April 2014)
Ben Kingsley's banking and investment services column: March 2014 (27 March 2014)
Bonus cap: PRA and FCA announce details of UK implementation (22 October 2013)
FCA and PRA CRD IV consultations: remuneration aspects (20 August 2013)

Resolution and compensation

Jake Ghanty's payment services and e-money column: December 2021 (22 December 2021)
Slaughter and May's banking and investment services column: April 2021 (27 April 2021)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Slaughter and May's banking and investment services column: August 2016 (2 August 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
New EU online dispute resolution platform: obligations for businesses (25 February 2016)
Sukuk and the bail-in regime (5 February 2016)
The Greek crisis: an Achilles heel for British business? (23 July 2015)
MiFID II and MiFIR: preparing for change (26 June 2014)
Proposals for an EU bail-in tool (17 July 2012)

Securities, markets and investments

EU BMR: European Commission proposes changes, but retains third-country routes to EU access (22 November 2023)
Simmons & Simmons' market abuse column: November 2023 (13 November 2023)
Slaughter and May's banking and investment services column: August 2023 (9 August 2023)
Ashurst's sustainable finance column: April 2023 (11 April 2023)
Practical Law Financial Services: what to expect in 2023 (20 December 2022)
FCA fines Chair of listed company for market abuse (24 November 2022)
MiFID II sustainability preferences: putting ESG at the centre of the sales process (4 July 2022)
Ian Mason's market conduct column: March 2022 (10 March 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
TLT mortgage and home finance column: December 2021 (15 December 2021)
ESG and financial regulation: top predictions for the future (18 November 2021)
Establishing a branch under AIFMD and MiFID (17 September 2021)
UK Investment Firms Prudential Regime (IFPR): 10 step plan for investment managers (15 September 2021)
Ian Mason's market conduct column: April 2021 (28 April 2021)
How UK financial services regulators are responding to climate change (12 March 2021)
Slaughter and May's banking and investment services column: January 2021 (28 January 2021)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
Global crises/Covid-19: Margin calls (6 July 2020)
Ian Mason's market conduct column: June 2020 (24 June 2020)
COVID-19: key considerations for fund managers (27 May 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Ian Mason's market conduct column: April 2020 (14 April 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Ian Mason's market conduct column: January 2020 (7 January 2020)
Cryptoassets and the Market Abuse Regulation: main challenges (15 November 2019)
Time to clarify the legal status of cryptocurrencies? (31 October 2019)
Cryptoassets: personal account dealing policies and procedures (30 July 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Cryptoasset compliance in an uncertain regulatory environment (28 June 2019)
Cryptoassets: What should the second line of defence focus on? (28 June 2019)
Ian Mason's market conduct column: June 2019 (25 June 2019)
No-deal Brexit and UK investment firms: the clock is ticking (22 February 2019)
Collective investment schemes: what does pooled mean in s235 of FSMA? (22 February 2019)
Slaughter and May's banking and investment services column: February 2019 (13 February 2019)
Practical Law Financial Services: what to expect in 2019 (2 January 2019)
Slaughter and May's banking and investment services column: July 2018 (18 July 2018)
PAG v RBS: Court of Appeal dismisses IRHP misselling and LIBOR manipulation claim (8 March 2018)
Lucy Frew's FinTech column: February 2018 (8 February 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Ian Mason's market conduct column: December 2017 (19 December 2017)
Slaughter and May's banking and investment services column: June 2017 (20 June 2017)
Lucy Frew's FinTech column: April 2017 (18 April 2017)
Slaughter and May's banking and investment services column: March 2017 (9 March 2017)
Monica Gogna at Dechert: asset management column: February 2017 (20 February 2017)
Property Alliance Group v RBS: key aspects of High Court's judgment and implications for similar claims (30 January 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
GC100: round table discussion on inside information (20 December 2016)
MAR: how are AIM companies dealing with the Market Abuse Regulation? (20 December 2016)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Ian Mason's market conduct column: December 2016 (1 December 2016)
Slaughter and May's banking and investment services column: November 2016 (30 November 2016)
Crowdfunding: an alternative source of financing (29 September 2016)
Blockchain technology and its regulation: introduction (26 August 2016)
Slaughter and May's banking and investment services column: August 2016 (2 August 2016)
The new market abuse regime: a long road for financial institutions to navigate (28 July 2016)
Monica Gogna at Dechert: asset management column: July 2016 (15 July 2016)
Ian Mason's market conduct column: July 2016 (14 July 2016)
Brexit: potential impact on the UK's banking industry (12 July 2016)
Market Abuse Regulation: ensuring compliance amidst uncertainty (30 June 2016)
Brexit: Some initial thoughts on prospectus requirements for issuers offering financial securities in the UK/EU (29 June 2016)
MiFID II Briefing Series: FCA's first consultation paper (Part 7) (8 January 2016)
Capital markets union: action plan and legislative proposals unveiled (29 October 2015)
Convertible and exchangeable bonds: market practice and common structures (29 October 2015)
MiFID II Briefing Series: ESMA Final Report on draft RTS and ITS: market issues and best execution (Part 6) (1 October 2015)
Secondary equity offerings: what's changed in 2015 (24 September 2015)
The electronic settlement of US Regulation S, Category 3 securities trading on the London Stock Exchange (23 September 2015)
LIBOR conviction: a watershed in the saga? (27 August 2015)
The Greek crisis: an Achilles heel for British business? (23 July 2015)
EU regulation for listed companies: planning for change (25 June 2015)
The Fair and Effective Markets Review: the results are in (25 June 2015)
US private placements: when Rule 144A is unavailable (25 June 2015)
MiFID II Briefing Series: HMT Consultation on MiFID II (Part 5) (23 April 2015)
EU capital markets union: prospectus regime under review (26 March 2015)
Market abuse: a tough new regime (26 February 2015)
Social media and securities laws: navigating the risks (29 January 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
Ben Kingsley's banking and investment services column: November 2014 (20 November 2014)
MiFID II Briefing Series: the ESMA proposals (Part 2) (29 July 2014)
MiFID II Briefing Series: the MiFID II review (Part 1) (3 June 2014)
The European Court's dismissal of the UK's challenge to the Short Selling Regulation (11 April 2014)
CCP recovery plans (21 March 2014)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Issues raised by two key consultations: ACER on REMIT and ESMA on EMIR (13 July 2012)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)

Systems and controls

Simmons & Simmons' market abuse column: November 2023 (13 November 2023)
Allen & Overy's financial services investigations and enforcement column: March 2023 (6 March 2023)
Practical Law Financial Services: what to expect in 2023 (20 December 2022)
Ian Mason's market conduct column: July 2022 (12 July 2022)
Ian Mason's market conduct column: March 2022 (10 March 2022)
Ashurst's financial crime column: February 2022 (8 February 2022)
UK Investment Firms Prudential Regime (IFPR): 10 step plan for investment managers (15 September 2021)
Ian Mason's market conduct column: April 2021 (28 April 2021)
Slaughter and May's banking and investment services column: April 2021 (27 April 2021)
FCA's expectations of "purposeful" AML systems and controls (16 April 2021)
Ashurst's financial crime column: January 2021 (15 January 2021)
Allen & Overy's financial services investigations and enforcement column: December 2020 (8 December 2020)
Slaughter and May's banking and investment services column: October 2020 (1 October 2020)
Ian Mason's market conduct column: June 2020 (24 June 2020)
Slaughter and May's banking and investment services column: April 2020 (30 April 2020)
Ian Mason's market conduct column: April 2020 (14 April 2020)
Immediate considerations for financial services clients in response to the COVID-19 pandemic (26 March 2020)
Transition from LIBOR: FCA conduct risk warning and next steps (15 January 2020)
Ian Mason's market conduct column: January 2020 (7 January 2020)
Non-financial misconduct: FCA continues its focus and confirms open enforcement investigations (18 November 2019)
Slaughter and May's banking and investment services column: July 2019 (3 July 2019)
Ian Mason's market conduct column: June 2019 (25 June 2019)
Ian Mason's market conduct column: September 2018 (4 September 2018)
Know your GDPR: self-reporting and enforcement considerations for contentious regulatory lawyers (26 June 2018)
GDPR and financial institutions: the top five issues (22 May 2018)
Ian Mason's market conduct column: February 2018 (7 February 2018)
Slaughter and May's banking and investment services column: January 2018 (10 January 2018)
Practical Law Financial Services: what to expect in 2018 (5 January 2018)
Ian Mason's market conduct column: December 2017 (19 December 2017)
Pollyanna Deane's insurance column: August 2017 (17 August 2017)
Slaughter and May's banking and investment services column: June 2017 (20 June 2017)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Practical Law Financial Services: what to expect in 2017 (6 January 2017)
Alison McHaffie's financial services investigations and enforcement column: December 2016 (15 December 2016)
Lucy Frew's FinTech column: December 2016 (8 December 2016)
The new market abuse regime: a long road for financial institutions to navigate (28 July 2016)
Ian Mason's market conduct column: July 2016 (14 July 2016)
Pollyanna Deane's insurance column: June 2016 (1 June 2016)
Lucy Frew's FinTech column: April 2016 (29 April 2016)
General Data Protection Regulation: preparing for change (28 April 2016)
Robo-advice: back to the future (28 April 2016)
Alison McHaffie's financial services investigations and enforcement column: March 2016 (23 March 2016)
Supply chain reporting: complying with the Modern Slavery Act 2015 (25 February 2016)
Lucy Frew's FinTech column: December 2015 (18 December 2015)
Alison McHaffie's financial services investigations and enforcement column: November 2015 (24 November 2015)
UK implementation of Solvency II remuneration requirements (10 November 2015)
Executive pay: further regulation for key staff at UK banks (23 July 2015)
The Fair and Effective Markets Review: the results are in (25 June 2015)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
Sourcing 3.0: the rise of the intelligent customer? (30 April 2015)
Alison McHaffie's financial services investigations and enforcement column: February 2015 (17 February 2015)
MiFID II Briefing Series: ESMA's final report and follow-up consultation (Part 3) (15 January 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
PRA and FCA remuneration proposals: overview and impact (11 December 2014)
Proposed new FCA and PRA senior managers and certification regime: employment implications (11 December 2014)
Alison McHaffie's financial services investigations and enforcement column: November 2014 (25 November 2014)
Pollyanna Deane's insurance column: October 2014 (30 October 2014)
Pollyanna Deane's insurance column: August 2014 (28 August 2014)
FCA and PRA confirm approaches to tackling serious failings in standards, governance and culture in firms (7 July 2014)
Pollyanna Deane's insurance column: June 2014 (6 June 2014)
Ben Kingsley's banking and investment services column: January 2013 (24 January 2013)
Pollyanna Deane's insurance column: August 2012 (15 August 2012)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)

Training and competence

Ashurst's sustainable finance column: March 2023 (1 March 2023)
Key impacts of the IDD on the UK insurance industry (12 April 2017)
Alison McHaffie's financial services investigations and enforcement column: June 2015 (17 June 2015)
FCA and PRA proposals for the new senior managers and certification regime (11 December 2014)
Proposed new FCA and PRA senior managers and certification regime: employment implications (11 December 2014)
Ben Kingsley's banking and investment services column: July 2012 (11 July 2012)
Ian Mason's financial services and compliance column: January 2010 (The Intrusive Approach - how it is looking for 2010) (29 January 2010)
Ian Mason's financial services and compliance column: December 2009 (The FSA: Ten predictions for 2010) (23 December 2009)
FSA Business Plan 2009/10: bridge over troubled waters? (26 February 2009)