Understanding the intricate landscape of financial regulation is crucial for compliance and risk management. Our expert guidance provides clear, concise advice on the intricacies of regulated activities within the financial sector. Stay ahead with up-to-date insights and practical solutions tailored for legal professionals navigating the ever-evolving regulatory environment.
The following Corporate Crime news provides comprehensive and up to date legal information on UK sanctions regime review lacks detail on beefing up meager enforcement
The following Financial Services news provides comprehensive and up to date legal information on FCA review highlights valuation standards for private funds
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...
What are regulated activities?STOP PRESS—Impact of the Retained EU Law (Revocation and Reform) Act 2023: This document contains references to retained EU law (REUL) and associated terms introduced by the European Union (Withdrawal) Act 2018 in connection with Brexit. From 1 January 2024, REUL that
Regulated mortgage contracts and home finance transactions definedBackground to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM Treasury announced its intention to regulate mortgage lenders in 2000 and revised its
Safeguarding and administering investmentsSTOP PRESS—Impact of the Retained EU Law (Revocation and Reform) Act 2023: This document contains references to retained EU law (REUL) and associated terms introduced by the European Union (Withdrawal) Act 2018 in connection with Brexit. From 1 January 2024,
Arranging deals in investments and operating multilateral and organised trading facilitiesArranging deals in investments, operating a multilateral trading facility (MTF) and operating an organised trading facility (OTF) are regulated activities under articles 25 and 25D of the
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