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...
Does section 89 of the Financial Services Act 2012 apply to investments in private as well as public companies?Section 89(2) of the Financial Services Act 2012 (FSA 2012) details that a person commits an offence if they make a statement or conceals facts with the intention of inducing, or is
Different types of short sellingShort selling: the two key typesRegulation (EU) 236/2012 (OJ L 86/1) (the EU Short Selling Regulation) came into force on 25 March 2012 and applies from 1 November 2012.As of IP completion day (31 December 2020), the onshored Short Selling Regulation, Retained
Misleading statements, misleading impressions and market manipulationPart 7 of the Financial Services Act 2012The Financial Services Act 2012 (FSA 2012) introduced new criminal offences relating to financial services of:•making false or misleading statements•creating false or misleading
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key elements of the unlawful disclosure of inside information and market soundings provisions of Regulation (EU) 596/2014 (the EU Market Abuse
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