Institutional Investor Due Diligence, Risk Assessment and Monitoring under EU and UK Securitisation Regulation (Archived)

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Checklists

ARCHIVED:

This document is archived and is no longer being updated. Regulation (EU) 2017/2402 (the EU Securitisation Regulation) took effect on 18 January 2018 and has applied across the EU since 1 January 2019. From IP completion day (31 December 2021), Assimilated Regulation (EU) 2017/2402 (the UK Securitisation Regulation) has applied in the UK.

This Checklist describes the due diligence, risk assessment and ongoing monitoring duties that apply to institutional investors in:

the EU, under the EU Securitisation Regulation; and
the UK, under the UK Securitisation Regulation.

For general information on the EU and UK securitisation regimes, see Practice Notes: UK Securitisation Regulation—essentials [Archived], UK regulatory capital treatment of securitisations under CRR and Solvency II and Legislation guide for transactional lawyers—UK Securitisation Regulation [Archived], the STS securitisation criteria—checklist [Archived] and the EU and UK Securitisation Regulations—timeline [Archived]. Note that the UK government is undertaking reform of the UK securitisation regime that will lead to the repeal of the UK Securitisation Regulation. For more information, see Practice Note: The UK securitisation regime...

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Web page updated on 20/05/2026

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