Financial crime

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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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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...
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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...
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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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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...
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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,...
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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...
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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...
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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
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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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...
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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...
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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,...
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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...
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25th Sep
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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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...
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25th Sep

Most recent Financial crime content

Practice notes
The Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and overhauled the legal framework governing the use of covert...
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26th Sep
Practice notes
Criminal offences under the Payment Services Regulations 2017Under regulation 138 of the Payment Services Regulations 2009, SI 2017/752 (PSRs 2017),...
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27th Sep
Practice notes
What are cryptoassets?One of the hurdles in relation to understanding non-traditional currencies and assets lies in the inconsistent use of language....
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27th Sep
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Denmark; France; Germany; Greece; Hong Kong; India; Italy;...
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27th Sep
Practice notes
Jurisdictions coveredThe following jurisdictions are covered in this report:Australia; Brazil; Canada; China; Denmark; France; Germany; Greece; Hong...
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27th Sep
Q&As
‘Relevant persons’ for the purpose of the Money Laundering Regulations 2007 (MLRs)The Money Laundering Regulations 2007, SI 2007/2157 (MLRs 2007)...
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28th Sep
Q&As
The principal UK requirements on anti-money laundering and know your customer checks—usually referred to as customer due diligence or CDD—at present...
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28th Sep
Q&As
What is CDD?Customer due diligence (CDD) is a package of measures which credit institutions (such as banks) and other financial institutions are...
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28th Sep
Q&As
What is CDD?Customer due diligence (CDD) is a package of measures which credit institutions (such as banks), other financial institutions and other...
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28th Sep
Q&As
Under section 19 of the Financial Services and Markets Act 2000 a person cannot carry out a regulated activity, or purport to do so in the UK unless...
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28th Sep
Q&As
Cryptoassets—overview explains that a virtual currency is a digital representation of value that can be traded digitally and functions as a medium of...
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28th Sep
Practice notes
This Practice Note summarises the Deferred Prosecution Agreement Code of Practice published by the Serious Fraud Office (SFO) and Crown Prosecution...
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2nd Oct
Practice notes
In what circumstances can a DPA be varied?The power to vary a DPA is set out in paragraph 10 of Schedule 17 of the Crime and Courts Act 2013 (CCA...
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2nd Oct
Practice notes
Breach of a DPAThe procedure for the circumstances in which a prosecutor believes that an organisation may be in breach of a DPA is set out in...
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2nd Oct
Practice notes
When does a deferred prosecution agreement expire?A deferred prosecution agreement (DPA) usually expires on the date specified as a term of the...
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2nd Oct
Practice notes
Over the past decade, there have been major concerns surrounding the administration and manipulation of financial market benchmarks, which have led to...
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Produced in partnership with Brown Rudnick LLP 5th Oct

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