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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
Insider dealing—a quick guideFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 25th Aug
Practice notes
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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25th Aug
Practice notes
Unauthorised business and the approach to enforcement—criminal proceedingsThe general prohibition under FSMA 2000The general prohibition is a concept...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 25th Aug
Practice notes
Unauthorised business and enforcement powers of the FCAOverviewThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from...
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Produced in partnership with Brown Rudnick 25th Aug
Practice notes
Unauthorised business and the approach to enforcement—civil proceedingsThe Financial Conduct Authority (FCA), the Bank of England (BoE) (including the...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 25th Aug
Practice notes
Offences during an FCA investigationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Sarah Clarke of Gatehouse Chambers 25th Aug
Practice notes
Misleading statements, misleading impressions and market manipulationPart 7 of the Financial Services Act 2012The Financial Services Act 2012 (FSA...
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25th Aug
Practice notes
Benchmark enforcement action—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Brown Rudnick 25th Aug
Practice notes
Cybersecurity—Mexico—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Mexico published as part of the...
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24th Aug
Practice notes
Cybersecurity—Australia—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Australia...
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24th Aug
Practice notes
Cybersecurity—Austria—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Austria published as part of the...
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24th Aug
Practice notes
Cybersecurity—France—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in France published as part of the...
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24th Aug
Practice notes
Cybersecurity—India—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in India published as part of the Lexology...
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24th Aug
Practice notes
Cybersecurity—Italy—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Italy published as part of the Lexology...
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24th Aug
Practice notes
Cybersecurity—Poland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Poland published as part of the...
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24th Aug
Practice notes
Cybersecurity—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Singapore published as part of the...
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24th Aug
Practice notes
Cybersecurity—United Kingdom - England & Wales—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to...
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24th Aug
Practice notes
Cybersecurity—China—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in China published as part of the Lexology...
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24th Aug
Practice notes
Cybersecurity—Philippines—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in...
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24th Aug
Practice notes
Cybersecurity—Belgium—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Belgium published as part of the...
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24th Aug

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