Financial crime—investigations

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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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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
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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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
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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9th Nov
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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9th Nov
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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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...
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9th Nov
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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Produced in partnership with Andrew Henderson Partner, Eversheds Sutherland LLP 12th Jan
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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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
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

Most recent Financial crime—investigations content

Practice notes
The Lexis®PSL Financial Services FCA/PRA Enforcement Database lists, and contains detailed information on, all substantive Financial Conduct Authority...
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12th 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
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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9th Apr
Practice notes
The US Foreign Corrupt Practices Act of 1977 (FCPA) is part of US federal law, which prohibits corrupt payments to or for foreign public officials. It...
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Produced in partnership with Ropes & Gray 9th Apr
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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Produced in partnership with Carolina Bracken of 5 Paper Buildings 9th Apr
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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Produced in partnership with Áine Kervick of Kingsley Napley LLP 9th Apr
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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9th Apr
Practice notes
Who is investigating?In our current globalised market, it is very common for multiple government agencies, across multiple jurisdictions to...
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Produced in partnership with Amanda Raad, Arla Kerr and Harriet Slater of Ropes & Gray 9th Apr
Practice notes
The aim of this Practice Note is to provide some guidance about how best to ensure that legal professional privilege (LPP) is maintained for the...
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Produced in partnership with Aine Kervick and Will Hayes of Kingsley Napley 9th Apr
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 9th Apr
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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9th Apr
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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9th Apr
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; Canada; China; Denmark; France; Germany; Greece; Hong...
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9th Apr
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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9th Apr
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sara Cody of Linklaters 23rd Mar
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 23rd Mar
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
Read More >
Produced in partnership with Sarah Clarke of Hardwicke Chambers 23rd Mar
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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12th Mar
Practice notes
This Practice Note deals with the compulsory power to provide documents under section 2 of the Criminal Justice Act 1987 (CJA 1987) (section 2...
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11th Mar
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Vaibhav Adlakha of Reed Smith and Tim Dolan of Reed Smith 1st Mar

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