The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
Use of attestations by the FCA and the PRAFinancial Services Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 onwards. The Database, available here, may be searched and filtered by rule
Unauthorised business and enforcement powers of the FCAOverviewThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from carrying on a regulated activity in the UK unless they are an authorised or an exempt person. This is known as the general prohibition. A regulated
FCA financial crime guidance: FCG, FCTR and supporting materialsFinancial Services Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and, where available, Decision Notices from 2014 to present. The Database, available here, may be
What degree of reputational risk is needed for a firm to give notice to the Financial Conduct Authority (FCA) under principle 11 and SUP 15.3 of the FCA handbook?We refer you to Practice Note: FCA and PRA enforcement essentials—preventing a referral to enforcement. In particular, section ‘How is a
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