Financial crime—investigations

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Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th May
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FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
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Consumer protection—FCA and other regulatory requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
Practice notes
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 19th May
Practice notes
FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
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Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home...
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19th May
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Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 19th May
Practice notes
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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19th May
Practice notes
FCA client classification requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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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...
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19th May
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Appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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19th May
Practice notes
USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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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...
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19th May

Most recent Financial crime—investigations content

Practice notes
Getting the Deal Through: Government Investigations 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Greece;...
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31st Jul
Practice notes
Getting the Deal Through: Anti-Corruption Regulation 2021Jurisdictions coveredThe following jurisdictions are covered in this report:Australia;...
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31st Jul
Practice notes
FCA and PRA search and seizure powers and dawn raidsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information...
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Produced in partnership with Sara Cody of Linklaters 31st Jul
Practice notes
Lexis®PSL Financial Services Enforcement DatabaseThe Lexis®PSL Financial Services Enforcement Database lists, and contains detailed information on,...
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31st Jul
Practice notes
Whistleblowing—UK regulatory issuesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
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...
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Produced in partnership with DLA Piper 31st Jul
Practice notes
FCA and PRA disclosure issues—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Brown Rudnick 31st Jul
Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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31st Jul
Practice notes
Offences during an FCA investigationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Sarah Clarke of Gatehouse Chambers 31st Jul
Practice notes
FCA enforcement essentials—preventing a referral to FCA enforcementLexis®PSL Financial Services Enforcement Database: This incorporates detailed...
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Produced in partnership with Vaibhav Adlakha of Reed Smith and Tim Dolan of Reed Smith 31st Jul
Practice notes
Dealing with the FCA—informal requests for informationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed...
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Produced in partnership with Sarah Clarke of Gatehouse Chambers 30th Jul
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
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30th Jul
Practice notes
Surveillance and intelligence gathering powers of the FCAThe Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and...
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Produced in partnership with Richard Hanstock of Cornerstone Barristers 30th Jul
Practice notes
Issues of privilege in cross-border criminal investigationsThe rules relating to privilege, disclosure and waiver can vary widely from one...
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Produced in partnership with Áine Kervick of Kingsley Napley and Will Hayes of Kingsley Napley 30th Jul

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