Financial crime

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Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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21st 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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19th 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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5th Oct
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...
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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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1st 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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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: 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. For...
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26th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...
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25th Sep
Practice notes
Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...
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25th Sep
Practice notes
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
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25th Sep
Practice notes
In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...
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25th Sep
Practice notes
Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...
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25th 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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25th Sep
Practice notes
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...
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25th Sep

Most recent Financial crime content

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
Disclosure in the DPA negotiation processOne of the factors in the deferred prosecution agreement (DPA) negotiation process, which can influence a...
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2nd Oct
Practice notes
Which organisations will be suitable for DPA negotiationsThe Deferred Prosecution Agreement Code of Practice (DPA Code) for prosecutors is intended to...
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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
What is a deferred prosecution agreement?A deferred prosecution agreement (DPA) is an agreement between an organisation and a designated prosecutor to...
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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
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
Reporting money laundering under the Proceeds of Crime Act 2002 (POCA 2002)The Money Laundering RegulationsBusinesses regulated by the Money...
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5th Oct
Practice notes
The Financial Conduct Authority (FCA) has various powers (see sections 97, 131E, 131F, 165–169, 171–173, 175, 176 and 284 of the Financial Services...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 5th Oct
Practice notes
IntroductionThe regulation of senior managers in the financial services industry has gone through a seismic shift in recent years. The Senior Managers...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 5th Oct
Practice notes
Search and seizure—the lawThe Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (together, the Regulators) have powers...
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Produced in partnership with Sara Cody of Linklaters 5th Oct
Practice notes
FORTHCOMING CHANGE: The Sanctions and Anti-Money Laundering Act 2018 (SAMLA 2018), which received Royal Assent on 23 May 2018, provides a power for...
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Produced in partnership with Michael Potts of Byrne and Partners LLP 9th Oct
Practice notes
Insider dealing is the use of sensitive or privileged information that has not yet been released to the public to take advantage of the market. When...
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9th Oct
Practice notes
Privilege is a vital consideration when deciding whether to make a suspicious activity report (SAR) to the National Crime Agency (NCA) under the...
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9th Oct
Practice notes
This Practice Note explains counter-terrorist financing (CTF), including the offences and obligations contained in the Terrorism Act 2000 (TA 2000)...
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9th Oct
Practice notes
CORONAVIRUS (COVID-19) UPDATE: In light of the coronavirus pandemic, the Pensions Regulator (TPR) issued guidance ‘Communicating to members during...
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Produced in partnership with Rebecca Bennett of Needle Partnership and Natasha Peacock of Needle Partnership 13th Oct
Practice notes
Identifying suspects of crimeA priority for corporate and high profile clients is that their reputation remains untarnished should they be...
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Produced in partnership with Ben Brocklehurst of Byrne and Partners LLP 14th Oct

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