Financial crime

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Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 9th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
This Solvency II quick guide details current UK legislation and retained EU legislation in relation to prudential insurance requirements that will be...
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9th Nov

Most recent Financial crime content

Practice notes
This quick guide provides high-level information on the measures taken under the European Union (Withdrawal) Act 2018 (EU(W)A 2018) (as amended by the...
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25th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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25th Nov
Practice notes
FCA and PRA rules on whistleblowingOn 6 October 2015, the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA)...
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Produced in partnership with DLA Piper UK LLP 25th Nov
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Vaibhav Adlakha of Reed Smith and Tim Dolan of Reed Smith 25th Nov
Practice notes
Employment Rights Act 1996 and Public Interest Disclosure Act 1998Under the Employment Rights Act 1996 (ERA 1996), as amended by the Public Interest...
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25th Nov
Practice notes
This Practice Note describes the current position on the enforcement of financial sanctions breaches in the UK as it applies during the implementation...
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Produced in partnership with Roger Matthews of Dentons 25th Nov
Precedents
1Nominated officer detailsName of organisation[Insert name]Name of nominated officer[Insert name]Reports to[Insert name]Full time/part...
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25th Nov
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
25th Nov
Practice notes
Brexit: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
25th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
25th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
Read More >
25th Nov
Practice notes
This Practice Note introduces the Financial Action Task Force (FATF) and its work in relation to setting standards and promoting adoption and use of...
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25th Nov
Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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25th Nov
Practice notes
BREXIT: The UK’s exit from the EU and the end of the implementation period on 31 December 2020 will have an impact on this Practice Note. For more...
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25th Nov
Practice notes
The requirements to have robust systems and controls in a regulated firm to prevent money laundering originate from:•the Money Laundering, Terrorist...
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25th Nov
Q&As
The risk-based approach (RBA) is a core concept of the Fourth Money Laundering Directive—4MLD, and therefore of the Money Laundering, Terrorist...
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25th Nov
Precedents
Money laundering is the process through which the true origin and ownership of the proceeds of crime are changed so that the proceeds appear...
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25th Nov
Precedents

Please click for the register.

Please note that this regist

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25th Nov
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
Read More >
25th Nov
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
Read More >
25th Nov

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