Financial crime and sanctions

Stay ahead in the fight against financial crime with comprehensive guidance on navigating complex regulations, implementing effective compliance measures, and responding to enforcement actions. Expertise in anti-money laundering, fraud prevention, and sanctions ensures you can protect your clients and their businesses in an increasingly scrutinised financial landscape. Equip yourself with the latest insights and best practices to manage risks and maintain regulatory integrity.

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Anti-bribery and corruption (ABC) Anti-money laundering and counter-terrorist financing (AML/CTF) Financial Services criminal offences, investigations, prosecutions Financial services offences Fraud in financial services Market abuse Sanctions compliance

Latest Financial Services News

Treasury Committee seeks comments on AI from tech firms

Treasury Committee seeks comments on AI from tech firms
How AI may have made a difference in Monzo bank breaches

How AI may have made a difference in Monzo bank breaches

The following Financial Services news provides comprehensive and up to date legal information on How AI may have made a difference in Monzo bank breaches

Commission Delegated Decision to grant renewal of provisional equivalence under Article 227 of Solvency II to Brazil, Mexico and Japan for further ten year period

Commission Delegated Decision to grant renewal of provisional equivalence under Article 227 of Solvency II to Brazil, Mexico and Japan for further ten year period

Commission Delegated Decision to grant renewal of provisional equivalence under Article 227 of Solvency II to Brazil, Mexico and Japan for further ten year period

FCA closes investigation into Wellesley & Co Limited with no further action

FCA closes investigation into Wellesley & Co Limited with no further action

Featured Financial Services content

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)

Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

CMA identifies Monzo's breaches of Retail Banking Market Investigation Order and secures agreement for corrective action

The Competition and Markets Authority (CMA) has identified several breaches by Monzo Bank Limited (Monzo) of the Retail Banking Market Investigation...

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBS

Insurance conduct regulation—COBS and ICOBSThe Financial Conduct Authority Handbook (FCA Handbook) includes sourcebooks to regulate the conduct of...

Second charge mortgage regime

Second charge mortgage regime

Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...

Practice notes

FCA client money rules

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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30th May
Practice notes

Non-UCITS retail schemes (NURS)

Non-UCITS retail schemes (NURS)This Practice Note explores non-UCITS retail schemes (NURS) and comments on investment powers, key investor information...
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Produced in partnership with Elizabeth Budd of Pinsent Masons
2nd Jun
Practice notes

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial services

Introduction to the UK AML/CTF/CPF legal and regulatory framework for financial servicesThis Practice Note provides a detailed introduction to the...
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2nd Jun
Practice notes

Debt sale and purchase agreements

Debt sale and purchase agreementsThe debt sale and purchase market is an important way for lenders and debt sellers to reduce balance sheet liability....
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2nd Jun
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Practice notes

Consumer Credit Act 1974—early settlement

Consumer Credit Act 1974—early settlementIntroduction to early settlementBorrowers are entitled, at any time, to bring regulated agreements to an end....
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Produced in partnership with George Mallet of Henderson Chambers
2nd Jun
Q&As

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the customer clears the arrears but leaves default sums outstanding, is the lender required to keep sending subsequent notices of sums in arrears under CCA 1974, s 86B(5)(b)?

Where a lender is required to send notices of sums in arrears on a fixed sum loan under section 86B of the Consumer Credit Act 1974 (CCA 1974) and the...
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Produced in partnership with Russell Kelsall of Walker Morris
30th May
Practice notes

FCA Handbook—introduction

FCA Handbook—introductionBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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30th May
Practice notes

Unregulated collective investment schemes—essentials

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
30th May
Practice notes

Credit limits

Credit limitsThis Practice Note provides an overview of the rules that apply to credit limits. A borrower will be set a credit limit on the maximum...
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2nd Jun
Practice notes

Consumer credit agreements—pre-contract requirements

Consumer credit agreements—pre-contract requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Dan Jones of Orrick, Herrington & Sutcliffe and Guy Stevenson of Orrick, Herrington & Sutcliffe
30th May
Practice notes

What are regulated activities?

What are regulated activities?Scope of this Practice NoteThis Practice Note explains what constitutes regulated activities under the UK regulatory...
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2nd Jun
Practice notes

MiFID and non-MiFID business

MiFID and non-MiFID businessThis Practice Note summarises what MiFID business is as the term is defined in the Financial Conduct Authority (FCA)...
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2nd Jun
Practice notes

Part VII Transfer of Banking Business

Part VII Transfer of Banking BusinessBackgroundAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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30th May
Practice notes

Financial Services Act 2012 [Archived]

Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) received Royal Assent on 19 December 2012 and went into effect on 1 April 2013....
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30th May
Practice notes

The general prohibition and implications of its breach

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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30th May
Practice notes

Suspicious transaction and order reports (STORs) under the UK Market Abuse Regulation

Suspicious transaction and order reports (STORs) under the UK Market Abuse RegulationThis Practice Note details the suspicious transaction and order...
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2nd Jun

Popular documents

Priority between loss reliefs in loss making companies

Priority between loss reliefs in loss making companiesWhy does it matter?A company that is a member of a group and has incurred any of the types of losses available for surrender by way of group relief may, without any further rules, have more than one way in which to use the loss. There are a

What is the difference between an appeal and a review?

What is the difference between an appeal and a review?What is an appeal?An appeal in insolvency proceedings is no different to an appeal in normal litigation. An appeal will be allowed only if the appeal court is satisfied that the decision of the lower court was 'wrong' or 'unjust because of a

Late payment penalties—inheritance tax

Late payment penalties—inheritance taxWhile interest often accrues on overdue tax, the late payment of certain taxes may also attract a penalty. For information on the interest accruing on overdue tax, see Practice Notes: IHT—payment deadlines on death—Interest on IHT and Interest on late paid

Contributory negligence in personal injury claims

Contributory negligence in personal injury claimsContributory negligence is a partial defence which can lead to a discount in damages.Other defences may also be relevant. See Practice Notes: Did the claimant consent to the risk of injury? and Was the claimant involved in an illegal activity?If a