Criminal investigations in financial services

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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 Criminal investigations in financial services content

Q&As
If a client would like to voluntarily waive privilege in an investigation, what are the risks and how can they be mitigated?Ownership of...
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Produced in partnership with Jonathan Edwards of Radcliffe Chambers and Daniel Gill of Clarke Willmott 17th Sep
Practice notes
FCA and PRA disclosure issues—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Brown Rudnick 17th Sep
Practice notes
FCA and PRA search and seizure powers and dawn raidsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information...
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Produced in partnership with Sara Cody of Linklaters 17th Sep
Practice notes
Surveillance and intelligence gathering powers of the FCAThe Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and...
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Produced in partnership with Richard Hanstock of Cornerstone Barristers 17th Sep
Practice notes
Financial Conduct Authority interviews and production of documentsFinancial Conduct Authority interviewsThe Financial Conduct Authority (FCA) can...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 17th Sep
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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14th Sep
Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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8th Sep
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
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5th Sep
Practice notes
Deferred prosecution agreementsWhat is a deferred prosecution agreement?A deferred prosecution agreement (DPA) is an agreement between an organisation...
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3rd Sep
Practice notes
Coronavirus (COVID-19)—financial crime implications for financial institutionsSome criminals have taken advantage of the coronavirus (COVID-19)...
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26th Aug
Practice notes
An introduction to Deferred Prosecution Agreements for Financial ServicesDeferred Prosecution AgreementA Deferred Prosecution Agreement (DPA) is an...
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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
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
FCA document and information requirements: protected items (privilege) and banking confidentialityLexis®PSL Financial Services FCA/PRA Enforcement...
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Produced in partnership with Brown Rudnick 24th Aug
Practice notes
Dealing with the FCA—informal requests for informationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed...
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Produced in partnership with Sarah Clarke of Gatehouse Chambers 24th Aug
Practice notes
Financial crime—deferred prosecution agreements—overview [Archived]This Overview has been archived and is not maintained. This is a guide to the...
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24th Aug
Q&As
Under what provisions and on what basis can the Financial Conduct Authority prosecute offences under the Fraud Act 2006?The Financial Conduct...
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Produced in partnership with Jamas Hodivala of Matrix Chambers 24th Aug
Practice notes
Appointment and powers of FCA investigators in criminal casesThe Financial Conduct Authority (FCA) has a wide-ranging brief, which includes the...
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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

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