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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
Anti-corruption regulation—Brazil—Q&A guide [Archived, 2020 edition]ARCHIVED: This Practice Note has been archived and is not maintained. This...
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24th Aug
Practice notes
Misleading statements etc in relation to benchmarksFORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases the...
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24th Aug
Practice notes
Misleading impressions under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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24th Aug
Practice notes
Anti-corruption regulation—Germany—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Germany...
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24th Aug
Practice notes
Anti-corruption regulation—Hong Kong—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Hong Kong...
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24th Aug
Practice notes
Anti-corruption regulation—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in...
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24th Aug
Practice notes
Anti-corruption regulation—Turkey—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Turkey...
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24th Aug
Practice notes
Criminal insider dealing (encouraging offence)—a quick guideThis Practice Note is concerned with one of the three criminal offences created under...
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24th Aug
Practice notes
Anti-corruption regulation—Greece—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Greece...
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24th Aug
Practice notes
Anti-corruption regulation—Mexico—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Mexico...
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24th Aug
Practice notes
Anti-corruption regulation—Russia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Russia...
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24th Aug
Practice notes
Anti-corruption regulation—Australia—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Australia...
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24th Aug
Practice notes
Misleading statements under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 24th Aug
Practice notes
Share rampingWhat is share ramping?Share ramping is a form of illegal market abuse that involves talking up the price of particular shares in order to...
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24th Aug
Practice notes
The US Foreign Corrupt Practices Act and the UK Bribery Act 2010 comparedBackground to the Foreign Corrupt Practices ActThe US Foreign Corrupt...
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24th Aug
Practice notes
Anti-corruption regulation—Italy—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Italy...
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24th Aug
Practice notes
Anti-corruption regulation—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Singapore...
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24th Aug
Practice notes
Spread betting and contracts for differenceWhat is spread betting?A spread bet is a bet on the future performance of a number of financial markets,...
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24th Aug
Practice notes
Insider dealingFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for insider dealing...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 24th Aug
Practice notes
Criminal insider dealing (disclosing inside information offence)—a quick guideFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021...
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24th Aug

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