FCA and financial crime—duties, powers, procedures, approaches

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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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16th Oct
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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15th Oct
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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5th Oct
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 5th Oct
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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5th Oct
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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5th Oct
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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27th Sep
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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26th Sep
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 >
26th Sep
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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26th Sep
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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26th Sep
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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26th Sep
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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26th Sep
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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25th Sep
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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25th Sep
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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25th Sep

Most recent FCA and financial crime—duties, powers, procedures, approaches content

Practice notes
The Financial Services and Markets Act 2000 (FSMA 2000) creates a range of criminal and civil/regulatory offences. For further information on...
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25th Sep
Practice notes
Elements of the offence of misleading statements in relation to benchmarksThe Financial Services Act 2012 (FSA 2012) introduces an offence in respect...
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25th Sep
Practice notes
Change in control of authorised personsPart XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires individuals or corporate bodies...
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25th Sep
Practice notes
Financial Conduct Authority interviewsThe Financial Conduct Authority (FCA) can conduct interviews in a variety of formats. The type of interview to...
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26th Sep
Practice notes
The Financial Services Act 2012 (FSA 2012) significantly altered the regulatory landscape for financial services in the UK by, inter alia, introducing...
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26th Sep
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 >
26th Sep
Practice notes
Criminal offences under the Payment Services Regulations 2017Under regulation 138 of the Payment Services Regulations 2009, SI 2017/752 (PSRs 2017),...
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27th Sep
Practice notes
Over the past decade, there have been major concerns surrounding the administration and manipulation of financial market benchmarks, which have led to...
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Produced in partnership with Brown Rudnick LLP 5th Oct
Practice notes
IntroductionThe regulation of senior managers in the financial services industry has gone through a seismic shift in recent years. The Senior Managers...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 5th Oct
Practice notes
Search and seizure—the lawThe Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (together, the Regulators) have powers...
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Produced in partnership with Sara Cody of Linklaters 5th Oct
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Greece; Hong Kong; India; Italy; Japan; Turkey; Ukraine; United...
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19th Oct
Practice notes
IntroductionThe Financial Conduct Authority (FCA)’s financial crime guide is entitled Financial Crime Guide: A firm's guide to countering financial...
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21st Oct

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