The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the Nominated Officer and the MLRO in a firm authorised by the Financial Conduct Authority (FCA) or firm registered with the FCA for money laundering (ML) purposes (which are often, but not always,
Preventing money laundering and countering terrorist financing in financial services—one minute guideFinancial Services Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 to present. The Financial
Financial Services analysis: Standard Chartered has rejected claims that it misled investors over allegations of bribery in Indonesia and non-compliance with sanctions on Iran. Responding for the first time to a lawsuit filed by scores of institutional shareholders in 2021, the bank said it was
Scotland—the process for applying for sequestrationSequestration in Scotland is the legal process by which an insolvent debtor’s estate is gathered in, realised and then distributed among their creditors by a trustee appointed for that purpose. The process requires that a formal award of
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