Risk management and controls

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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...
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19th May
Practice notes
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 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 representativesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’)...
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19th May
Practice notes
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 requirementsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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19th May
Practice notes
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—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 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)—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 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 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 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 exchangesBREXIT: 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
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) 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 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 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 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]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 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 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 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]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 processorsIn briefData protection laws in both the EEA (the EU plus...
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31st Jul
Practice notes
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 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...
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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]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 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]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Hong Kong...
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31st Jul
Practice notes
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 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 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 implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st Jul

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