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Risk management and controls

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Latest Financial Services News

European Union and UK government initiatives on money laundering and terrorism finance

European Union and UK government initiatives on money laundering and terrorism finance

The following Corporate Crime news provides comprehensive and up to date legal information on European Union and UK government initiatives on money laundering and terrorism finance

Financial Services weekly highlights—29 July 2021

Financial Services weekly highlights—29 July 2021

The following Financial Services news provides comprehensive and up to date legal information on Financial Services weekly highlights—29 July 2021

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

The following Financial Services news provides comprehensive and up to date legal information on Comment—clearinghouse equivalence countdown begins as UK regulators resign themselves to access expiration

How anti-corruption push affects US companies operating abroad

How anti-corruption push affects US companies operating abroad

The following Corporate Crime news provides comprehensive and up to date legal information on How anti-corruption push affects US companies operating abroad

Featured Financial Services content

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)

Multilateral Trading Facilities (MTFs)BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Introduction to the FCA COBS 4 rules

Introduction to the FCA COBS 4 rules

Introduction to the FCA COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...

Complaints handling by financial services firms

Complaints handling by financial services firms

CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....

Threshold conditions under FSMA 2000

Threshold conditions under FSMA 2000

Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...

Q&As

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the cardholder and others?

Does section 75 of the Consumer Credit Act 1974 give full protection to a cardholder for breach of contract when booking services used by the...
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19th May
Practice notes

Application of the FCA's COBS 4 rules

Application of the FCA's COBS 4 rulesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

FCA financial crime guidance: FCG, FCTR and supporting materials

FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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19th May
Practice notes

FCA—APR controlled functions for benchmark administrators and appointed representatives

FCA—APR controlled functions for benchmark administrators and appointed representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes

IFPRU Remuneration Code

IFPRU Remuneration CodeBREXIT: 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

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirements

Mortgage and home finance conduct of business—responsible lending, charges and arrears requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes

Financial Ombudsman Service—eligible complainants

Financial Ombudsman Service—eligible complainantsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes

FCA regulation of claims management companies—essentials

FCA regulation of claims management companies—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Nicholas Thompsell of Fieldfisher 19th May
Practice notes

PRA-regulated activities and the scope of PRA regulation

PRA-regulated activities and the scope of PRA regulationAs a result of the 2008 banking crisis, the government made a number of changes to the UK...
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19th May
Practice notes

Second Wire Transfer Regulation (EU WTR2 and UK WTR2)—essentials

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

Interaction between the PRA, FCA and FPC

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

FCA client classification requirements

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

The European Systemic Risk Board

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

Recognised investment exchanges

Recognised investment exchangesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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19th May
tag iconIn-house
Practice notes

Appointed representatives

Appointed representativesBREXIT: 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

USA—Introduction to state securities (blue sky) laws

USA—Introduction to state securities (blue sky) lawsState securities regulatorsApart from the Securities and Exchange Commission (SEC), which is an...
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19th May

Most recent Risk management and controls content

Practice notes

Processing personal data—standard of consent

Processing personal data—standard of consentThis Practice Note is based on the UK General Data Protection Regulation (UK GDPR) and consent guidance...
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1st Aug
Practice notes

Cloud computing—Austria—Q&A guide

Cloud computing—Austria—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Austria published as part of the...
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31st Jul
Practice notes

Cloud computing—South Korea—Q&A guide

Cloud computing—South Korea—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in South Korea published as part...
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31st Jul
Practice notes

Data protection principles under the DPA 1998 [Archived]

Data protection principles under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime...
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Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 31st Jul
Practice notes

Key definitions under data protection law

Key definitions under data protection lawOn 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between...
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31st Jul
Practice notes

Cloud computing—USA—Q&A guide

Cloud computing—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in USA published as part of the Lexology...
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31st Jul
Practice notes

Cloud computing—Sweden—Q&A guide

Cloud computing—Sweden—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Sweden published as part of the...
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31st Jul
Practice notes

Key definitions under the DPA 1998 [Archived]

Key definitions under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May...
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31st Jul
Practice notes

Supply chains under data protection law—arrangements between controllers and processors

Supply chains under data protection law—arrangements between controllers and processorsIn briefData protection laws in both the EEA (the EU plus...
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31st Jul
Practice notes

Cybersecurity—USA—Q&A guide

Cybersecurity—USA—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in USA published as part of the Lexology...
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31st Jul
Practice notes

Cloud computing—Germany—Q&A guide

Cloud computing—Germany—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Germany published as part of the...
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31st Jul
Q&As

Is a commercial organisation required by the GDPR or any other data/privacy regulation to notify a customer via a recorded message at the start of a call that their telephone call is being recorded?

Is a commercial organisation required by the GDPR or any other data/privacy regulation to notify a customer via a recorded message at the start of a...
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Produced in partnership with Peter Steel of Augury Consulting Limited 31st Jul
Practice notes

Sanctions and enforcement under the DPA 1998 [Archived]

Sanctions and enforcement under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before...
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Produced in partnership with 5RB 31st Jul
Practice notes

Cybersecurity—Switzerland—Q&A guide

Cybersecurity—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Switzerland published as part of...
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31st Jul
Practice notes

Cybersecurity—Hong Kong—Q&A guide [Archived, 2019 edition]

Cybersecurity—Hong Kong—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Hong Kong...
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31st Jul
Q&As

Which financial institutions have to follow the obligations under the Prudential Regulation Authority's Remuneration Code to apply clawback provisions to bonus awards? Also what are the implications of a role being classified as Code Staff for the purposes of the PRA and FCA Remuneration Code (a material risk taker)?

Which financial institutions have to follow the obligations under the Prudential Regulation Authority's Remuneration Code to apply clawback provisions...
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31st Jul
Practice notes

International transfers of personal data under the DPA 1998 [Archived]

International transfers of personal data under the DPA 1998 [Archived]ARCHIVED: This Practice Note introduces the data export restriction under the...
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Produced in partnership with Fieldfisher 31st Jul
Practice notes

Risk control—post MiFID II implementation

Risk control—post MiFID II implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul
Practice notes

Prudential Regulation Authority—Fundamental Rules

Prudential Regulation Authority—Fundamental RulesBackground to the Fundamental RulesPrior to the creation of the Financial Conduct Authority (FCA) and...
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31st Jul
Practice notes

Financial services outsourcing—post MiFID II implementation

Financial services outsourcing—post MiFID II implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul

Popular documents

Medco

Medco

MedcoSTOP PRESS: A new RTA small claims protocol for whiplash claims comes into effect for accidents occurring on or after 31 May 2021. The small claims track limit for personal injury claims arising from an RTA is increased to £5000 in respect of general damages for pain, suffering and loss of

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocol

Judicial review—time limits and the pre-action protocolWhen considering whether and how to bring a claim for judicial review, the first step is to consider whether judicial review is be an appropriate means of addressing the issues raised by the case at hand. For further guidance, see Practice Note:

Issue of redeemable shares

Issue of redeemable shares

Issue of redeemable sharesA limited company that proposes to issue redeemable shares must comply with the provisions of the Companies Act 2006 (CA 2006).Why do companies issue redeemable shares?A company may wish to issue redeemable shares so that it has an alternative way to return surplus capital

Common law offence of false imprisonment

Common law offence of false imprisonment

Common law offence of false imprisonmentThe offence of false imprisonmentFalse imprisonment is a common law offence but it is more common as a civil action in tort (see Practice Note: False imprisonment).It is triable only on indictment. It may be classified in class 2A, 2B or 3 in accordance with