Financial crime—investigations

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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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26th Oct
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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21st 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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19th 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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5th Oct
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...
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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...
Read More >
1st 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...
Read More >
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. For...
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26th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...
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25th Sep
Practice notes
Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...
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25th Sep
Practice notes
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
Read More >
25th Sep
Practice notes
In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...
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25th Sep
Practice notes
Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...
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25th 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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25th Sep
Practice notes
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...
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25th Sep

Most recent Financial crime—investigations content

Practice notes
The lawyer's role in an investigationA defence lawyer has the responsibility as an adviser to act in the best interests of their client, upon their...
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25th Sep
Practice notes
Preliminary stepsBefore any action is taken it is important to consider:•what is the event which has created the suspicion of fraud in the...
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26th Sep
Practice notes
Coronavirus (COVID-19): This Practice Note contains guidance on subjects potentially impacted by the response to the COVID-19 outbreak. In particular,...
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26th Sep
Practice notes
The Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and overhauled the legal framework governing the use of covert...
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26th Sep
Practice notes
The Financial Conduct Authority (FCA) has various powers (see sections 97, 131E, 131F, 165–169, 171–173, 175, 176 and 284 of the Financial Services...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 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
Identifying suspects of crimeA priority for corporate and high profile clients is that their reputation remains untarnished should they be...
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Produced in partnership with Ben Brocklehurst of Byrne and Partners LLP 14th Oct
Practice notes
This Practice Note explains the initial stages and investigative steps in the Financial Conduct Authority’s (FCA) enforcement process once a breach...
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19th Oct
Practice notes
The consequences of a failure to comply with a requirement under Part XI of the Financial Services and Markets Act 2000 (FSMA 2000) (for example,...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 19th 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
The Financial Conduct Authority (FCA) has a variety of powers under the Financial Services and Markets Act 2000 (FSMA 2000).This Practice Note will...
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Produced in partnership with Brown Rudnick LLP 21st 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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