Sanctions—issues for financial services firms

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Practice notes
What is credit and what is a regulated consumer credit agreement?Scope of this Practice NoteThere are several factors to consider when deciding...
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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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...
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19th May
Practice notes
Financial Ombudsman Service—time limitsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
FCA—training and competenceBREXIT: 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
Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
Interaction between the PRA, FCA and FPCBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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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
Practice notes
FCA best execution 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
Practice notes
Public censure by the FCALexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and...
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19th May
Practice notes
Recognised investment exchangesBREXIT: 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
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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19th May

Most recent Sanctions—issues for financial services firms content

Practice notes
International sanctions—an introductionWhat are sanctions?Sanctions are non-permanent restrictions or prohibitions imposed by governments that...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 3rd Aug
Practice notes
Financial sanctions compliance—examples of good (and poor) practiceThe Financial Conduct Authority (FCA) has provided some examples of good practice...
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1st Aug
Practice notes
UK sanctions regimes currently in forceThis Practice Note provides information on UK sanctions regimes currently in force, including regimes under the...
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1st Aug
Practice notes
Enhancing watch list screeningThe complex nature of watch list screening creates challenges and presents risks. This Practice Note summarises the...
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1st Aug
Practice notes
International official financial sanctions lists​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly...
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1st Aug
Practice notes
EU/UK financial and trade sanctions for insurersInsurers must negotiate a patchwork system of financial and trade sanctions. In the UK, the primary...
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Produced in partnership with Daniel Martin of HFW 1st Aug
Practice notes
Sanctions clauses and the effect of sanctions on insurance policiesIP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit...
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Produced in partnership with Daniel Martin of HFW 1st Aug
Practice notes
The EU and US Sanctions RegimesThis Practice Note considers:•EU sanctions•sanctions in the US, and•the similarities and differences between the EU and...
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1st Aug
Practice notes
The financial sanctions regime—common misconceptionsThe financial sanctions regime remains a myth to some organisations. You need to understand that...
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31st Jul
Practice notes
Financial sanctions regimes in other jurisdictionsIt is important to consider financial sanctions imposed by other jurisdictions and what impact these...
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31st Jul
Practice notes
Financial sanctions—reporting obligationsThis Practice Note sets out the circumstances in which you may be required to report on frozen accounts...
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31st Jul
Practice notes
In-house lawyers—risk management—financial services How to use this Practice NoteThe terms and definitions used in this Practice Note match those used...
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31st Jul
Practice notes
Licences and exemptions in financial sanctionsThe UK’s domestic sanctions framework is governed by the Sanctions and Anti-money Laundering Act 2018...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 30th Jul
Practice notes
Designation of sanctions targets under the UN sanctions, UK sanctions and EU sanctions regimesWith the passing of the Sanctions and Anti-Money...
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Produced in partnership with Roger Matthews of Dentons, John Binns and Umar Azmeh of BCL Solicitors LLP 30th Jul
Practice notes
Development of sanctions regime in the UK during the Brexit transition period [Archived]ARCHIVED: This Practice Note has been archived and is not...
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30th Jul
Practice notes
The effect of sanctions on loan agreementsThis Practice Note looks at:•issues that sanctions can pose on lending transactions•the key provisions of...
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30th Jul
Practice notes
The enforcement of financial sanctions breaches in the UKThe UK has introduced a UK specific sanctions framework under the Sanctions and Anti-Money...
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Produced in partnership with Roger Matthews of Dentons, John Binns and Umar Azmeh of BCL Solicitors LLP 30th Jul
Practice notes
Financial sanctions—offencesSanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) created a UK specific framework for the implementation and...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 30th Jul
Practice notes
Challenging UK sanctions designations under SAMLA 2018This Practice Note explains the UK domestic sanctions regime under the Sanctions and Anti-Money...
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Produced in partnership with John Binns of BCL Solicitors LLP 30th Jul
Practice notes
The UK sanctions framework under SAMLA 2018 This Practice Note explains the UK financial sanctions and trade sanctions regime under the Sanctions and...
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Produced in partnership with John Binns of BCL Solicitors LLP 30th Jul

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