United Kingdom: Commodities/Derivatives/Stock Exchanges

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Finance law and banking law thought leadership, articles, podcasts, videos and webinars from expert sources across the legal world. Explore insights covering topics such as capital adequacy, BASEL, acquisition finance, debt capital markets, fund finance, islamic finance, securitization and structured finance.

New (And Improved) AIM Rules

The London Stock Exchange has implemented significant revisions to the AIM Rules for Companies following its June 2026 consultation paper, introducing substantial changes to admission requirements, transaction thresholds, and disclosure obligations. These reforms include replacing traditional working capital statements with targeted financial disclosures, introducing a voluntary Capital Access Window for fundraising suspensions, and aligning substantial transaction thresholds with Main Market standards at 2

United Kingdom Commercial

TS

Travers Smith LLP

Capital Markets – LSE’s Updated Rules For UK AIM Market

The London Stock Exchange (LSE) has confirmed the changes to its rules for AIM companies and has published an updated copy of the AIM Rules for Companies.

United Kingdom Finance

KL

Herbert Smith Freehills Kramer LLP

FCA Finalises Overhaul Of UK Transaction Reporting

On 3 August 2026, the Financial Conduct Authority (FCA) published Policy Statement PS26/15, setting out final transaction reporting rules that will replace and restate assimilated EU law derived from the Markets in Financial Instruments Regulation (UK MiFIR).

United Kingdom Finance

KM

Katten Muchin Rosenman LLP

Are Rolling Spot FX And Rolling Spot Precious Metals Reportable Under MiFIR?

TRAction often gets asked whether Rolling Spot FX and Spot Precious Metals are reportable under MiFIR. In this article, we explain why we consider that Rolling Spot FX and Spot Precious Metals are not reportable under MiFIR.

European Union Finance

TRAction

Credit Risk Transfers: What Every Asset Manager Should Ask Before Investing

United Kingdom Finance

D

Dechert

May 2026 - June 2026 EU/UK Regulatory Round-Up: Investment Manager Edition

United Kingdom Finance

AG

Akin Gump Strauss Hauer & Feld LLP

Predictable: ESMA Clarifies Application Of Binary Options Rules To Event Contracts And Prediction Markets

Worldwide Finance

KM

Katten Muchin Rosenman LLP

Robust US Payrolls To Boost The US Dollar?

United Kingdom Finance

IG

IR Global

AIM – LSE Consultation On AIM Rules

United Kingdom Commercial

KL

Herbert Smith Freehills Kramer LLP

FCA Doubles UK EMIR Commodity Clearing Threshold To EUR 6 Billion

United Kingdom Finance

KM

Katten Muchin Rosenman LLP

UK EMIR – Clearing Threshold For Commodity Derivatives Increased

United Kingdom Finance

M

Macfarlanes LLP

Ahead Of The Curve: The UK’s Regulatory Framework For Bank Operational Resilience

United Kingdom Finance

AO

A&O Shearman

What Is An NFC-?

United Kingdom Finance

TRAction

David Wilson And Leah Krishnarayan Discusses The AIM Reform Agenda In Thomson Reuters Regulatory Intelligence

United Kingdom Commercial

HL

Hunters

UK Jurisdiction Taskforce Publishes Final Legal Statement On Liability For AI Harms

United Kingdom Litigation

KL

Herbert Smith Freehills Kramer LLP

The Business Of Beauty: From Luxury To Longevity With Lindy Firstenberg (Podcast)

United Kingdom Consumer

A

AlixPartners

Five Stars, Zero Substance? The CMA Takes Aim At Misleading Reviews

United Kingdom Media & IT

GW

Gowling WLG

Not Delayed, Not Deferred: EU AI Act Transparency Obligations Are Now In Force

European Union Commercial

GP

Goodwin Procter LLP

Property Newsletter: Summer Edition (Podcast)

United Kingdom Real Estate

GC

Gatehouse Chambers

The FCA's Innovation Insights Report And What It Means For Financial Services Firms

The Financial Conduct Authority has released its innovation insights report for 2025, revealing significant trends in the global fintech market including substantial investment in digital assets, AI integration, and open finance developments.

United Kingdom Finance

LS

Lewis Silkin

The Technical ISIN Under UK EMIR

Following a joint consultation by the Financial Conduct Authority and the Bank of England, Q&A 4.14 was finalised and added to the UK EMIR Reporting Q&As.

United Kingdom Finance

TRAction

SEC Proposes Optional Semiannual Reporting For Public Companies: What You Need To Know

On May 5, 2026, the Securities and Exchange Commission (SEC) proposed amendments that would permit public companies to elect to file semiannual interim reports on a new Form 10-S instead

United Kingdom Commercial

AG

Akin Gump Strauss Hauer & Feld LLP

What Is EMIR 3? Is It The Same As EMIR Refit?

Regulatory reporting is complex and with the numerous EMIR updates released by ESMA over the years, it can get quite confusing. Recently, the European Commission has published a proposal called EMIR 3.

European Union Finance

TRAction

How Does A Regulator Or ARM Ascertain MiFIR Reportability?

United Kingdom Finance

TRAction

FinReg Monthly Update

Worldwide Finance

PR

Proskauer Rose LLP

FinReg Monthly Update

Worldwide Finance

PR

Proskauer Rose LLP

FinTech Global FS Regulatory Round-up - W/e 27 March 2026

Worldwide Technology

KL

Herbert Smith Freehills Kramer LLP

FCA Publishes Final Rules On The UK’s New Short Selling Regime

United Kingdom Finance

KM

Katten Muchin Rosenman LLP

FinReg Monthly Update

Worldwide Finance

PR

Proskauer Rose LLP

How Much Notice Do You Really Need To Give?

United Kingdom Commercial

AO

A&O Shearman

January 2026 – February 2026: EU/UK Regulatory Round-Up

United Kingdom Finance

AG

Akin Gump Strauss Hauer & Feld LLP

SFDR 2.0 In Focus: Key Industry Pressure Points And Early Signals From Council And European Parliament

European Union Finance

KL

Herbert Smith Freehills Kramer LLP

At A Glance: What Will The Revised EMIR Clearing Thresholds Mean For You?

United Kingdom Finance

TS

Travers Smith LLP

How Much Notice Do You Really Need To Give?

In our last post, we explored whether “forever” really means forever in contract law. This time, we’re dealing with another classic contract conundrum: what does “reasonable notice” mean?

United Kingdom Commercial

AO

A&O Shearman

January 2026 – February 2026: EU/UK Regulatory Round-Up

This Regulatory Round‑Up highlights a selection of significant Financial Conduct Authority (FCA) regulatory developments during January and February 2026 that are most relevant to asset managers...

United Kingdom Finance

AG

Akin Gump Strauss Hauer & Feld LLP

SFDR 2.0 In Focus: Key Industry Pressure Points And Early Signals From Council And European Parliament

As the market is forming a view on the Commission's SFDR 2.0 proposals, this article provides an overview of where the key industry voices are landing.

European Union Finance

KL

Herbert Smith Freehills Kramer LLP

At A Glance: What Will The Revised EMIR Clearing Thresholds Mean For You?

The EMIR clearing thresholds and calculation methodology are being changed.

United Kingdom Finance

TS

Travers Smith LLP

Legal Risk Management During Market Volatility – How Can The Buy-side Prepare?

United Kingdom Finance

TS

Travers Smith LLP

Court Of Appeal Partially Dismisses Judicial Review Challenge To FOS Decision Relating To Client Classification

The decision illustrates that whether a firm has complied with COBS 3.5.3R is a matter of regulatory compliance rather than a matter of private contract...

United Kingdom Finance

KL

Herbert Smith Freehills Kramer LLP

Interest Rate Derivative Trade Reporting

An interest rate derivative (IDR) or swap is a contract between two parties that agree to exchange interest payments based on fixed and floating interest rates.

United Kingdom Finance

TRAction

Out Of Sight, Not Out Of Scope: UK FCA Fines And Bans Individual For Insider Dealing

The UK FCA has fined a capital markets adviser to an energy company GBP100,281 – and banned him from working in financial services – for insider dealing.

United Kingdom Finance

AO

A&O Shearman

Prospectus Regime Change In The UK—a Debt Capital Markets Update

The UK's previous prospectus regime, in existence before January 19, 2026, was closely aligned with the Prospectus Regulation (EU) 2017/1129, which was onshored in the UK after Brexit as the UK Prospectus Regulation (the UK PR).

United Kingdom Finance

AO

A&O Shearman

Managing "Internal" Investment Funds And Conflicts Of Interest: Recent UK FCA Action

United Kingdom Finance

AO

A&O Shearman

Capital Markets – New UK Prospectus Regime In Force From 19 January

United Kingdom Finance

KL

Herbert Smith Freehills Kramer LLP

When Do Validations Kick In For Certain EMIR Refit Fields?

United Kingdom Finance

TRAction

High Court Finds UK Broker Did Not Breach Contract By Refusing To Return Funds To Client Subject To US Sanctions

United Kingdom Finance

KL

Herbert Smith Freehills Kramer LLP

Lessons From Tricolor And First Brands

Worldwide Finance

AG

Addleshaw Goddard

Are Crypto ETNs MiFIR reportable?

United Kingdom Finance

TRAction

Important Guidance On Restructuring Credit Event Triggers Under ISDA Definitions

United Kingdom Finance

JD

Jones Day

Do Non-Bank Financial Institutions Pose A Systemic Risk?

United Kingdom Finance

GT

Greenberg Traurig, LLP

Beyond The Buzz: What Is Driving Stablecoin Adoption? (Podcast)

United Kingdom Technology

AO

A&O Shearman

Finding The Perfect Formula For Workplace Culture

United Kingdom Employment

AO

A&O Shearman

Horizon Scan: Improvements To The UK Transaction Reporting Regime?

United Kingdom Finance

TS

Travers Smith LLP

AIM – LSE Publishes Feedback On Proposed Changes To The AIM Rules

United Kingdom Commercial

KL

Herbert Smith Freehills Kramer LLP

Briefing Note: Key Takeaways From The London Stock Exchange's Discussion Paper Feedback Statement On Shaping The Future Of AIM

United Kingdom Commercial

TS

Travers Smith LLP

SFDR 2.0 Overhaul: Impact Of The New Categories And Disclosures On Funds And Asset Managers

European Union Finance

AO

A&O Shearman

UK Financial Insights From Katten | Issue 28

United Kingdom Finance

KM

Katten Muchin Rosenman LLP

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Latest Videos

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Business Reporter – Best Of British Business: Keeping The Engine Behind Your Market Data Running (Video)

CJ

CJC Ltd

Mining The Markets: Canadian Mining Companies Exploring The London Stock Exchange

GW

Gowling WLG

A History Of Derivatives: From Ancient Mesopotamia To Trading Places (Video Content)

MB

Mayer Brown

2014 ISDA Credit Derivatives Definitions In Detail - Part One

MB

Mayer Brown

2014 ISDA Credit Derivatives Definitions

MB

Mayer Brown

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