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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 International—investigations and enforcement in financial services content

Practice notes
FCPA—who it applies to and what it prohibits (US)What is the FCPA and what does it prohibit?The Foreign and Corrupt Practices Act (FCPA) was enacted...
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7th Sep
Practice notes
Legal privilege and professional secrecy—Spain—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to legal privilege and...
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24th Aug
Practice notes
Anti-corruption regulation—France—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in France...
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24th Aug
Practice notes
Anti-corruption regulation—Portugal—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Portugal...
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24th Aug
Practice notes
Anti-corruption regulation—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in USA published...
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24th Aug
Practice notes
Anti-corruption regulation—Israel—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Israel...
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24th Aug
Practice notes
Anti-corruption regulation—Ukraine—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Ukraine...
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24th Aug
Practice notes
Anti-corruption regulation—India—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in India...
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24th Aug
Practice notes
Anti-corruption regulation—Canada—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Canada...
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24th Aug
Practice notes
Anti-corruption regulation—China—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in China...
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24th Aug
Practice notes
Anti-corruption regulation—Denmark—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
Anti-corruption regulation—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Japan...
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24th Aug
Practice notes
Anti-corruption regulation—Liechtenstein—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—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation in Sweden...
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24th Aug
Practice notes
Anti-corruption regulation—United Arab Emirates—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to anti-corruption regulation...
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24th Aug
Practice notes
Anti-corruption regulation—United Kingdom—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—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
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

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