| 1 | A guide to Practical Law's FATCA resources A guide to Practical Law's resources on the US Foreign Account Tax Compliance Act (FATCA). | Practice note: overview | Maintained |
| 2 | Companies Act 2006: Overview A part-by-part overview of the Companies Act 2006. For a link to the 2006 Act, see Companies Act 2006: publication of final text. Note - this note a high level part-by-part description of the main substantive changes made by the 2006 Act, it does not discuss implementation/transitional provisions. For detailed resources on the 2006 Act, see Practice note, Companies Act 2006: materials. (For an overview of the Companies Bill as it stood on 28 July 2006 after completing its committee stage in the House of Commons, see Practice note, Companies Bill: Overview. For an overview of the Company Law Reform Bill as it stood on 26 May 2006 after receiving its third reading in the House of Lords, see Practice note, Company Law Reform Bill: Overview.) | Practice note: overview | 31-May-2007 |
| 3 | Covered bonds This note examines covered bonds issued in the UK, providing a guide to the legislation, deal structure, parties and documentation applicable to a typical covered bond transaction. This note also contains a link to a detailed note on covered bonds in the United States. | Practice note: overview | Maintained |
| 4 | Document retention toolkit A toolkit to guide users through PLC's UK, US and international content on document retention. It includes materials on retention of employment records, Companies Act 2006 requirements and electronic disclosure. | Practice note: overview | Maintained |
| 5 | Environmental law: overview This note provides a summary of the main types of environmental liabilities that a company or a lender can incur, primarily under the contaminated land, water pollution, environmental permitting, waste and asbestos regimes, as well as civil law. The note is aimed at non-environmental specialists who need to understand, at a very high level, what environmental issues may arise in a transaction. | Practice note: overview | Maintained |
| 6 | EU developments in financial services: resources overview This practice note provides an introduction to the EU legislative process and EU financial services developments. It contains links to practice notes and other PLC Financial Services materials relating to key developments in the EU financial services sector. | Practice note: overview | Maintained |
| 7 | Financial services trackers This resources document sets out PLC Financial Services' trackers covering current and key legal and regulatory developments and publications in the area of financial services. The trackers bring together PLC Financial Services content and primary source material to enable PLC Financial Services subscribers to quickly find and stay on top of key financial services cases, decisions, legislation, parliamentary inquiries, publications and other key current regulatory developments. The trackers are not intended to be exhaustive lists of all developments in relevant areas. | Practice note: overview | Maintained |
| 8 | FSA Business Plan 2012/13 This practice note provides an overview of the FSA's key priorities for 2012/13, as outlined in its Business Plan for 2012/13. | Practice note: overview | 22-Mar-2012 |
| 9 | Key dates for financial services practitioners: 2013/14 A list of key forthcoming dates in 2013 and 2014 by topic for financial services practitioners. We update this list on a monthly basis. It was last updated on the law stated date above. | Practice note: overview | 11-Jun-2013 |
| 10 | Material available on PLC Financial Services This note serves as a guide to the range of content available to PLC Financial Services subscribers. Links are provided for ease of reference. | Practice note: overview | Maintained |
| 11 | Practice notes on legal concepts and legislative procedure This resources document sets out the PLC practice notes on general legal concepts and legislative procedure which are available to PLC Financial Services subscribers. | Practice note: overview | Maintained |
| 12 | Privilege: an overview An outline of the law relating to privilege including legal advice privilege, litigation privilege, joint privilege and common interest privilege. | Practice note: overview | Maintained |
| 13 | Responses to key financial services papers: Practice note ... This tracker contains links to the consultation response trackers that PLC Financial Services has published. We create trackers to include links to responses to important consultation, discussion and other policy papers relevant to the financial services sector and update them with details of further key responses when they are published. | Practice note: overview | Maintained |
| 14 | Tracker: key European financial services legislative initiatives This tracker covers key European financial services legislative initiatives for the period 2007 to 2013. It tracks these legislative initiatives from their adoption and publication by the European Commission to their publication in the Official Journal of the European Union. The tracker also includes key European financial services legislative initiatives that the Commission has indicated it expects to adopt during 2013. Links are provided throughout to official European sources and texts and relevant PLC Financial Services (and other PLC) content. For more information on PLC Financial Services' materials relating to key developments in the European financial services sector, see Practice note, EU developments in financial services: resources overview. For an overview of anticipated key dates in 2013 and 2014 for significant legal and regulatory developments that are likely to have an impact on the UK financial services industry, see Practice note, Key dates for financial services practitioners: 2013/14. Please note that we are currently in the process of reviewing and updating this tracker. | Practice note: overview | Maintained |
| 15 | 2011 Budget: financial services implications and measures This practice note provides an overview of the initiatives and measures announced by the government in the Budget of 23 March 2011 that will impact specifically on the UK financial services industry. These measures have or will be enacted through the Finance Acts of 2011, 2012 and 2013. This note will be updated to reflect relevant sections of the Finance Acts (and preceding Finance Bills). For links to tailored PLC practice area updates on the 2011 Budget and comments from leading tax practitioners on what they consider to be the key points of interest for business, see PLC's 2011 Budget coverage. | Practice notes | 06-Dec-2011 |
| 16 | Annual accounts of micro-entities: legislation tracker A practice note charting developments relating to the Directive on annual accounts of micro-entities in chronological order. | Practice notes | Maintained |
| 17 | Are you looking for EU law content on this topic? A practice note explaining where to find EU law content from a topic page. | Practice notes | Maintained |
| 18 | Consumer Protection from Unfair Trading Regulations 2008 A commentary on the Consumer Protection from Unfair Trading Regulations 2008 (SI 2008/1277) which implemented the Unfair Commercial Practices Directive (2005/29/EC) in the UK by introducing a general prohibition on traders treating consumers unfairly and requiring businesses not to mislead consumers through acts or omissions or subject them to aggressive commercial practices. | Practice notes | Maintained |
| 19 | Contracts: conditions, warranties and intermediate terms An outline of the classification of contract terms as conditions, warranties and intermediate or innominate terms. | Practice notes | Maintained |
| 20 | FSA Updated MiFID permissions and notifications guide This practice note looks at both the FSA's MiFID permissions and notifications guide (Guide), that was published on 22 May 2007, as well as the update to the Guide that was published on 10 September 2007. | Practice notes | 01-Oct-2007 |
| 21 | Ian Mason's financial services and compliance columns On a regular basis, Ian Mason, an editor in PLC Financial Services, shares his views on topical financial services and compliance issues with PLC Financial Services subscribers. Ian's columns can be accessed below. Previously, Ian was a partner in the Financial Services Group of Baker & McKenzie LLP and also served as Head of the Wholesale Group in the FSA's Enforcement and Financial Crime Division. Ian was a member of the PLC Financial Services consultation board until he joined PLC in May 2012. | Practice notes | Maintained |
| 22 | Impact of the Business Protection from Misleading Marketing ... A brief overview of the Business Protection from Misleading Marketing Regulations 2008 (SI 2008/1276) (BPRs) and their impact on FSMA-authorised firms. | Practice notes | Maintained |
| 23 | Impact of the Consumer Protection from Unfair Trading ... A brief overview of the Consumer Protection from Unfair Trading Regulations 2008 (SI 2008/1277) (CPRs) and their impact on firms authorised under the Financial Services and Markets Act 2000 (FSMA). | Practice notes | Maintained |
| 24 | Listing debt securities in London An overview of the rules and procedures for listing debt securities in London. | Practice notes | Maintained |
| 25 | Managing communications and documents This note considers the legal, regulatory and reputational risks arising from communications and all forms of document management, including: Monitoring and review. Storage and disposal of documents. Document retention periods. | Practice notes | 05-Apr-2012 |
| 26 | Materials on US financial services regulation made available ... This note lists the materials on US financial services regulation that have been made available to PLC Financial Services. | Practice notes | Maintained |
| 27 | Notifications of major proportions of voting rights: comparison ... A note outlining the changes to the law on the notification of acquisitions or disposals of major proportions of voting rights made by Part 43 of the Companies Act 2006 (2006 Act). For more detail on the regime under the 2006 Act, see Practice note, Notifications of major shareholdings under the Disclosure and Transparency Rules. Part 43 of the 2006 Act came into force on 20 January 2007. | Practice notes | 01-May-2007 |
| 28 | PLC Financial Services: materials for those new to financial ... A note aimed at those new to financial services law, including new joiners and trainees in financial services teams and in-house lawyers, providing details of the resources available on PLC Financial Services. | Practice notes | Maintained |
| 29 | Queen's Speech 2010 and coalition agreement: financial ... This practice note provides an overview of the key financial services regulatory initiatives and measures announced by the coalition government in the coalition agreement published on 11 May 2010, the coalition programme published on 20 May 2010, and the Queen's Speech of 25 May 2010. Please note, this practice note does not reflect the proposed reforms to the structure of UK financial services regulation announced by the Chancellor of the Exchequer on 16 June 2010. For information on these, see Practice note, New UK financial services regulatory structure: how the reforms developed. For information on other PLC materials relating to the coalition government's proposals, see PLC post-election coverage. | Practice notes | 16-Jun-2010 |
| 30 | Resolving ambiguities in legislation This practice note discusses the tools available to those who have to apply an ambiguous piece of legislation. | Practice notes | Maintained |
| 31 | SRA Handbook 2011: top ten things for in-house lawyers to ... The Solicitors' Code of Conduct 2007 and all other existing Solicitors Regulation Authority (SRA) rules have been rewritten and reformatted into a new SRA Handbook. The date for implementation of the Handbook is currently scheduled to be 6 October 2011. This Practice note highlights the ten key points that in-house lawyers need to consider in advance of its introduction. | Practice notes | Maintained |
| 32 | The legislative process in the UK and how Bills become law A note explaining the legislative process in the UK Parliament. It provides an overview of how Bills become Acts of Parliament and also explains the different types of Bill that can be introduced into Parliament. The note also explains delegated or secondary legislation. | Practice notes | Maintained |
| 33 | Thoresen Review: Publication of final report On 3 March 2008, the Thoresen Review on generic financial advice published its final report. The report sets out a high-level model for a national and free (at least in the medium term) service to provide people in the UK with impartial guidance and information on money matters. Commenting on the publication of the Report, Otto Thoresen said: "My report sets out how a national money service could transform people's lives as well as bringing substantial benefits to the industry and Government. Its recommendations to the Government set out a vision for how the service could be delivered." The Report identifies the next steps necessary to turn the high-level model into a fully operational Service. | Practice notes | 03-Mar-2008 |
| 34 | Unfair Commercial Practices Directive: legislation tracker A practice note charting developments relating to the Unfair Commercial Practices Directive in chronological order. | Practice notes | Maintained |