Risk management and controls

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Practice notes
Chapter 4 of the Financial Conduct Authority's (FCA) Conduct of Business sourcebook (COBS 4) contains the conduct of business requirements for...
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9th Nov
Practice notes
This Practice Note looks at the regulated activity of accepting deposits (often referred to as deposit taking). Accepting deposits is a key hallmark...
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9th Nov
Practice notes
The Basel Committee on Banking Supervision (BCBS), consisting of the central banks of governors of the so-called G10 countries (Belgium, Canada,...
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Produced in partnership with Morrison & Foerster LLP 12th Jan
Practice notes
The role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure for financial services firms. The FCA has a...
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9th Nov
Practice notes
This Practice Note looks at key aspects of consumer protection within the UK financial services regulatory system. The UK’s regulatory structure,...
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9th Nov
Practice notes
This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial Conduct Authority (FCA). The Principles form part of the...
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9th Nov
Practice notes
On 10 June 2015, the Fair and Effective Markets Review (FEMR) published its final report. Running to 106 pages, the report covers a wide range of...
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9th Nov
Practice notes
Recognised investment exchangesA recognised investment exchange (RIE) is a UK recognised body under Part XVIII of the Financial Services and Markets...
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9th Nov
Practice notes
BREXIT: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
BREXIT: The UK is leaving EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. To ensure...
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9th Nov
Practice notes
Authorisation of an authorised unit trust (AUT)What is an AUT?A unit trust is a type of collective investment scheme (CIS) in which the assets are...
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9th Nov
Practice notes
The debt sale and purchase market in the UKThe debt sale and purchase market has for some time been very active throughout the UK. It is an important...
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9th Nov
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has...
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9th Nov
Practice notes
This Practice Note provides information relating to the impact of Brexit on the recast Markets in Financial Instruments Directive (Directive...
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9th Nov
Practice notes
This Practice Note provides an overview of the transaction reporting requirements that existed under the Markets in Financial Instruments Directive...
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9th Nov
Practice notes
Scope of this Practice NoteThere are several factors to consider when deciding whether or not a credit agreement is regulated under the regulatory...
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9th Nov

Most recent Risk management and controls content

Practice notes
Data security is a cornerstone of the UK General Data Protection Regulation (UK GDPR). The sixth data protection principle (the integrity and...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Austria published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Germany published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in United Kingdom published as part of the Lexology Getting the Deal...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Germany published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Sweden published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
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9th Apr
Practice notes
On 31 January 2020, the UK ceased to be a member of the EU and EEA. Given the extensive data flows between the EEA and UK, equivalent EEA data...
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes
The table in this Practice Note identifies and briefly summarises the principal exemptions available under the Data Protection Act 1998 (DPA 1998)....
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in France published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
The Data Protection Act 2018 (DPA 2018) came into force on 25 May 2018. As first enacted it introduced four distinct data protection regimes into UK...
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9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Belgium published as part of the Lexology Getting the Deal Through...
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and reflects the position under the Data...
Read More >
9th Apr
Practice notes
This Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Netherlands published as part of the Lexology Getting the Deal...
Read More >
9th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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8th Apr

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