Sanctions—issues for financial services firms

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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
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 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
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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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
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 >
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
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Sanctions—issues for financial services firms content

Practice notes
The Financial Conduct Authority (FCA) has provided some examples of good practice for sanctions systems and controls in Part 7 in its guide, FCG...
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9th Apr
Practice notes
The complex nature of watch list screening creates challenges and presents risks. This Practice Note summarises the challenges watch list screening...
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9th Apr
Practice notes
​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly available)​​IncludingMultinationalUnited NationsUnited...
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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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Produced in partnership with Roger Matthews of Dentons 9th Apr
Practice notes
This Practice Note explains the UK financial sanctions and trade sanctions regime under the Sanctions and Anti-Money Laundering Act 2018 (SAMLA...
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Produced in partnership with John Binns of BCL Solicitors LLP 9th Apr
Practice notes
The Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018) was implemented to ensure the UK has a robust sanctions regime after the UK leaves the...
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9th Apr
Practice notes
This Practice Note explains the UK domestic sanctions regime under the Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018). This regime was...
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Produced in partnership with John Binns of BCL Solicitors LLP 9th Apr
Practice notes
This Practice Note looks at:•issues that sanctions can pose on lending transactions•the key provisions of the facility agreement that must be...
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8th Apr
Practice notes
This Practice Note considers:•EU sanctions•sanctions in the US, and•the similarities and differences between the EU and US sanctions regimesPractice...
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8th 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...
Read More >
Produced in partnership with Roger Matthews of Dentons 8th 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...
Read More >
Produced in partnership with Roger Matthews of Dentons 8th 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...
Read More >
Produced in partnership with Roger Matthews of Dentons 8th 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...
Read More >
Produced in partnership with Dentons 8th Apr
Practice notes
ARCHIVED: This Practice Note has been archived and is not maintained.Lawyers and the companies they advise need to understand what their sanctions...
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8th Apr
Practice notes
Insurers must negotiate a patchwork system of financial and trade sanctions. In the UK, the primary responsibility for administering the financial...
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Produced in partnership with Dil-veer Kang of CMS, Charlotte Thompson of RPC and Marcus Bonnell and updated by Daniel Martin of HFW 25th Mar
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 Daniel Martin of HFW 25th Mar
Practice notes
How to use this Practice NoteThe terms and definitions used in this Practice Note match those used in the Financial Conduct Authority (FCA) Handbook...
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26th Feb
Practice notes
This Practice Note sets out the circumstances in which you may be required to report on frozen accounts belonging to designated persons under...
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27th Jan
Practice notes
The financial sanctions regime remains a myth to some organisations. You need to understand that it applies to you. This brief Practice Note outlines...
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13th Jan
Practice notes
It is important to consider financial sanctions imposed by other jurisdictions and what impact these may have on your business. This Practice Note...
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12th Jan

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