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

View Financial Services by content type:

Latest Financial Services News

Featured Financial Services content

Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
Read More >
Produced in partnership with John Ahern 19th May
Q&As
Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the...
Read More >
19th May
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
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...
Read More >
Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
FCA client money rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
Read More >
Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
Read More >
Produced in partnership with DLA Piper 19th May
Practice notes
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
Read More >
19th May
Practice notes
FCA best execution rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Conduct Rules for SM&CR FirmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
Produced in partnership with Mark Compton and Lauren Smith of Mayer Brown International LLP 19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
Read More >
19th May
Practice notes
FCA inducements rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
Read More >
19th May
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
19th May

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

Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
Read More >
28th Jul
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement DatabaseThe Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed...
Read More >
26th Jul
Practice notes
Coronavirus (COVID-19)—financial crime implications for financial institutionsSome criminals have taken advantage of the coronavirus (COVID-19)...
Read More >
26th Jul
Practice notes
FCA and PRA search and seizure powers and dawn raidsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information...
Read More >
Produced in partnership with Sara Cody of Linklaters 13th Jul
Practice notes
Financial Conduct Authority interviews and production of documentsFinancial Conduct Authority interviewsThe Financial Conduct Authority (FCA) can...
Read More >
Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 13th Jul
Practice notes
Unauthorised business and the approach to enforcement—criminal proceedingsThe general prohibition under FSMA 2000The general prohibition is a concept...
Read More >
Produced in partnership with Sarah Clarke QC of Serjeants' Inn 25th Jun
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
Read More >
24th Jun
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
Read More >
24th Jun
Practice notes
Appointment and powers of FCA investigators in criminal casesThe Financial Conduct Authority (FCA) has a wide-ranging brief, which includes the...
Read More >
18th Jun
Practice notes
Offences relating to change in control of UK authorised personsChange in control of authorised personsPart XII of the Financial Services and Markets...
Read More >
15th Jun
Practice notes
Anti-financial crime requirements for insurersThe Financial Conduct Authority (FCA) has statutory objectives which include the protection and...
Read More >
Produced in partnership with Marcus Bonnell, and Charlotte Thompson of RPC 5th Jun
Practice notes
Systems and controls to prevent money laundering and counter terrorist financingThe requirements to have robust systems and controls in a regulated...
Read More >
5th Jun
Practice notes
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
Read More >
5th Jun
Practice notes
Dealing with the FCA—informal requests for informationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed...
Read More >
Produced in partnership with Sarah Clarke of Hardwicke Chambers 5th Jun
Practice notes
FCA document and information requirements: protected items (privilege) and banking confidentialityLexis®PSL Financial Services FCA/PRA Enforcement...
Read More >
Produced in partnership with Brown Rudnick 5th Jun
Practice notes
Systems and controls to prevent bribery The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It is aimed at preventing corruption in...
Read More >
5th Jun
Practice notes
Offences during an FCA investigationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
Read More >
Produced in partnership with Sarah Clarke of Hardwicke Chambers 5th Jun
Practice notes
Whistleblowing—UK regulatory issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
Read More >
5th Jun
Practice notes
FCA and PRA whistleblowing requirements—one minute guideBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
Read More >
Produced in partnership with DLA Piper 5th Jun
Practice notes
Payment Services Regulations 2017—criminal offences and the FCA's and PSR's approachesCriminal offences under the Payment Services Regulations...
Read More >
5th Jun

Popular documents