Anti-bribery—issues for financial services firms

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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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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
Disciplinary powers of the FCAThe disciplinary powers of the Financial Conduct Authority (FCA) are found in Part XIV of the Financial Services and...
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9th Nov
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
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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 12th Jan
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
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
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
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
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Anti-bribery—issues for financial services firms content

Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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14th Apr
Practice notes
All commissions constitute the giving of a financial advantage, although they will not necessarily be bribes.Commissions may be facilitation payments,...
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Produced in partnership with Richard Furlong of Carmelite Chambers 14th Apr
Practice notes
Corporate criminal liability for bribery—section 7 of the Bribery Act 2010This offence can only be committed by relevant commercial organisations...
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14th Apr
Practice notes
The nature of the offenceThis Practice Note explains the rules relating to the jurisdiction to try allegations of bribery under the Bribery Act 2010,...
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14th Apr
Practice notes
An agent is a person who performs services for or on behalf of a commercial organisation. The use of agents will principally create risk under the...
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Produced in partnership with Joanna Dimmock of White & Case 14th Apr
Practice notes
The purpose of this Practice Note is to provide a general understanding of the offences under section 1, 2 and 6 of the Bribery Act 2010 (BA 2010). It...
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Produced in partnership with Joanne Kane of Carmelite Chambers 14th Apr
Practice notes
Facilitating the performance of a duty by public officialsFacilitation payments, also known as facilitating or grease payments, are generally small...
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Produced in partnership with Richard Furlong of Carmelite Chambers 14th Apr
Practice notes
Almost every business and everyone involved in the carrying on of a trade incorporates an element of hospitality to existing or potential business...
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Produced in partnership with Joanna Dimmock of White & Case 14th Apr
Practice notes
Charitable and political donations can give rise to higher risks of bribery and corruption. They can be (or be seen to be) bribes in disguise.This...
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14th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in United Kingdom published as part of the Lexology...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Russia published as part of the Lexology Getting the...
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9th Apr
Practice notes
As businesses eagerly expand into new markets looking for new growth opportunities, they must be careful, as with new growth comes new challenges....
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Produced in partnership with Stephen R. Martin of Arnold & Porter LLP 9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Brazil published as part of the Lexology Getting the...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Canada published as part of the Lexology Getting the...
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9th Apr
Practice notes
This Practice Note contains a comparison table showing differences and similarities between the US Foreign Corrupt Practice Act 1977 (FCPA 1977) and...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Singapore published as part of the Lexology Getting the...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in China published as part of the Lexology Getting the...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Liechtenstein published as part of the Lexology Getting...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Sweden published as part of the Lexology Getting the...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Japan published as part of the Lexology Getting the...
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9th Apr

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