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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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19th May
Practice notes
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 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
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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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
FCA client money 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
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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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
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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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 European Systemic Risk BoardBREXIT: 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
The Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Financial crime content

Practice notes
Civil fraud—frequently asked questions (FAQ)Fraud—what is it?Fraud can best be described as the deliberate or intentional use of misrepresentation,...
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16th Sep
Practice notes
International official financial sanctions lists​​Country​​Regulatory body​​Sanction List(Links to sanctions lists are provided, where publicly...
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16th Sep
Practice notes
The regulatory approach to data security in financial servicesLegislative framework for data securityGeneral Data Protection Regulation The General...
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14th Sep
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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14th Sep
Practice notes
Cybersecurity regulation and best practice in the US and UKBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 14th Sep
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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14th Sep
Practice notes
Sanctions clauses and the effect of sanctions on insurance policiesThe Practice Note entitled EU/UK financial and trade sanctions for insurers...
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Produced in partnership with Daniel Martin of HFW 13th Sep
Practice notes
UK Market Abuse Regulation—insider dealingThis Practice Note provides an overview of the offence of insider dealing as prescribed by Retained...
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13th Sep
Practice notes
Insider listsThis Practice Note considers the obligation of an issuer who issues or proposes to issue financial instruments which are within the scope...
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13th Sep
Practice notes
Introductory guide to fraud in financial servicesThis introductory guide provides an overview of common types of fraud in financial services. It...
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8th Sep
Practice notes
Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentialsThe Second Wire Transfer Regulation (EU) 2015/847 (WTR2), also known as the Funds...
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8th Sep
Practice notes
Failure to prevent the criminal facilitation of tax evasion—the offencesThis Practice Note discusses the two ‘failure to prevent’ corporate criminal...
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Produced in partnership with Rhys Meggy of QEB Hollis Whiteman 7th Sep
Practice notes
FCPA—who it applies to and what it prohibits (US)What is the FCPA and what does it prohibit?The Foreign and Corrupt Practices Act (FCPA) was enacted...
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7th Sep
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 6th Sep
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 6th Sep
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 6th Sep
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 6th Sep
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
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5th Sep
Practice notes
Coronavirus (COVID-19)—financial crime implications for financial institutionsSome criminals have taken advantage of the coronavirus (COVID-19)...
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26th Aug

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