Financial crime

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Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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19th May
Practice notes
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
The European Systemic Risk BoardBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May
Practice notes
Regulatory capital—purpose, quantity and qualityBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Morrison & Foerster 19th May
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent Financial crime content

Practice notes
Money Laundering Regulations 2017—group level policies, controls and proceduresThe Money Laundering, Terrorist Financing and Transfer of Funds...
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28th Jul
Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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28th Jul
Practice notes
Introduction to the EU AML/CTF legal and regulatory framework for financial servicesOverview of the European AML/CTF regulatory regimeThe EU’s...
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28th Jul
Practice notes
An introduction to short sellingShort selling, or 'going short', is a technique whereby traders sell shares or debt instruments ('securities') which...
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28th Jul
Practice notes
European Commission 2020 Action Plan on AML/CTF—key provisions for financial services firmsThe European Commission Action Plan for a Comprehensive EU...
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27th Jul
Practice notes
Introductory guide to fraud in financial servicesThis introductory guide provides an overview of common types of fraud in financial services. It...
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27th Jul
Practice notes
UK sanctions regimes currently in forceThis Practice Note provides information on UK sanctions regimes currently in force, including regimes under the...
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27th Jul
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement DatabaseThe Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed...
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26th Jul
Practice notes
Surveillance and intelligence gathering powers of the FCAThe Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and...
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Produced in partnership with Richard Hanstock of Cornerstone Barristers 26th Jul
Practice notes
Coronavirus (COVID-19)—financial crime implications for financial institutionsSome criminals have taken advantage of the coronavirus (COVID-19)...
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26th Jul
Practice notes
Cybersecurity—Malta—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Malta...
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25th Jul
Practice notes
Cybersecurity—United Kingdom - England & Wales—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to...
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25th Jul
Practice notes
Cybersecurity—Austria—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Austria published as part of the...
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25th Jul
Practice notes
Cybersecurity—Turkey—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Turkey published as part of the...
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25th Jul
Practice notes
Civil fraud—frequently asked questions (FAQ)Fraud—what is it?Fraud can best be described as the deliberate or intentional use of misrepresentation,...
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23rd Jul
Practice notes
Obligations to report money laundering and other suspicious transactionsReporting money laundering under the Proceeds of Crime Act 2002 (POCA 2002)The...
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23rd Jul
Practice notes
MLD5—key provisions for financial services firms—one minute guideAdoption of MLD5 and implementation in the UKThe Fifth Money Laundering Directive...
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23rd Jul
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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23rd Jul
Practice notes
MLD4—key provisions for financial services firms—one minute guideBackground to MLD4The Fourth Money Laundering Directive (EU) 2015/849 (MLD4) was...
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23rd Jul
Practice notes
Impact of Brexit: AML and CTF regime—quick guide [Archived]ARCHIVED: This Practice Note has been archived and is not maintained. For developments,...
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22nd Jul

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