Financial crime

View Financial Services by content type:

Featured Financial Services content

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...
Read More >
16th 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...
Read More >
15th Oct
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...
Read More >
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...
Read More >
Produced in partnership with Morrison & Foerster LLP 5th Oct
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...
Read More >
5th Oct
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
Read More >
5th Oct
Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
Read More >
27th 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: 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
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...
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. To ensure...
Read More >
26th Sep
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
Read More >
26th Sep
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
Read More >
26th Sep
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...
Read More >
25th Sep
Practice notes
UCITS VIUCITS VI describes the European Commission's Consultation on Undertakings for Collective Investment in Transferable Securities issued 26th...
Read More >
25th Sep
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
Read More >
25th Sep

Most recent Financial crime content

Practice notes
Financial Conduct Authority interviewsThe Financial Conduct Authority (FCA) can conduct interviews in a variety of formats. The type of interview to...
Read More >
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
ARCHIVED: This archived Practice Note is being retained to assist those advising on investigations and prosecutions for offences under MLR 2007, SI...
Read More >
26th Sep
Practice notes
ARCHIVED: This archived Practice Note is not being maintained. The Money Laundering Regulations 2007, SI 2007/2157, (MLR 2007, SI 2007/2157) were...
Read More >
26th Sep
Practice notes
ARCHIVED: This archived Practice Note is not being maintained. It tracked the passage of the Bill through Parliament to its publication as an Act, and...
Read More >
26th Sep
Practice notes
The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It is aimed at preventing corruption in business and public life, and affects both...
Read More >
26th Sep
Practice notes
Preliminary stepsBefore any action is taken it is important to consider:•what is the event which has created the suspicion of fraud in the...
Read More >
26th Sep
Practice notes
What is share ramping?Share ramping is a form of illegal market abuse that involves talking up the price of particular shares in order to mislead the...
Read More >
26th Sep
Practice notes
What is spread betting?A spread bet is a bet on the future performance of a number of financial markets, including indices, shares, currencies and...
Read More >
26th 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...
Read More >
26th Sep
Practice notes
Coronavirus (COVID-19): This Practice Note contains guidance on subjects potentially impacted by the response to the COVID-19 outbreak. In particular,...
Read More >
26th Sep
Practice notes
The Financial Services Act 2012 (FSA 2012) significantly altered the regulatory landscape for financial services in the UK by, inter alia, introducing...
Read More >
26th Sep
Practice notes
The requirements to have robust systems and controls in a regulated firm to prevent money laundering originate from:•the Money Laundering, Terrorist...
Read More >
26th Sep
Practice notes
Regulated activities—generalFor an activity to constitute a regulated activity under Financial Services and Markets Act 2000 (FSMA 2000), it must be...
Read More >
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: 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: 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: 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
Credit brokerage under the consumer credit regimeSince April 2014, the regulation of consumer credit in the UK has been overseen by the Financial...
Read More >
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

Popular documents