Sanctions—issues for financial services firms

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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...
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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...
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26th Sep
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...
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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 Sanctions—issues for financial services firms content

Practice notes
Financial sanctions and legislative regime during the implementation periodAs of exit day (31 January 2020), the UK is no longer an EU Member State....
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25th Sep
Practice notes
BREXIT: As of 31 January 2020, the UK is no longer an EU Member State, but has entered an implementation period during which it continues to be...
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25th Sep
Practice notes
BREXIT: This Practice Note includes information on the designations on sanctions in the UK under EU law and how it is impacted by the UK’s decision to...
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26th Sep
Practice notes
What is a deferred prosecution agreement?A deferred prosecution agreement (DPA) is an agreement between an organisation and a designated prosecutor to...
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2nd Oct

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