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Practice notes
Introduction to the FCA 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
CORONAVIRUS (COVID-19): The FCA has issued a statement setting out its expectations on complaints handling by firms during the coronavirus pandemic....
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19th May
Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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19th May
Practice notes
Threshold conditions under FSMA 2000This Practice Note provides a summary of the threshold conditions that apply to authorised firms, including firms...
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Produced in partnership with John Ahern 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
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
Exempt consumer credit agreements under the FSMA 2000 (Regulated Activities) Order 2001This Practice Note seeks to explain the types of agreements...
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Produced in partnership with Rebecca Kellner of Orrick, Herrington & Sutcliffe and Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May
Practice notes
FCA client money rulesBREXIT: 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
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
The general prohibition and implications of its breachThe general prohibitionUnder section 19 of the Financial Services and Markets Act 2000 (FSMA...
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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
Part VII Transfer of Banking BusinessSummaryAs noted in Practice Note: Insurance business transfer schemes, a regime for transferring portfolios of...
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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
Practice notes
Financial Conduct Authority—authorisationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May

Most recent Information and cyber security for financial services firms content

Practice notes
Subject access exemptions under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before...
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25th 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 25th Jul
Practice notes
Applying exemptions under the DPA 1998—reference table [Archived]The table in this Practice Note identifies and briefly summarises the principal...
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25th 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 25th 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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25th Jul
Practice notes
Applicability and scope of the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before 25...
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25th Jul
Practice notes
Non-disclosure exemptions under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before...
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25th 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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25th Jul
Practice notes
UK GDPR and EU GDPR—sanctions and enforcementOn 31 January 2020, the UK ceased to be an EU Member State and entered a Brexit implementation period....
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25th Jul
Practice notes
EU data protection reform—timeline [Archived]ARCHIVED: This archived timeline sets out the key legislative developments of the data protection reform...
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25th 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 25th Jul
Practice notes
Exemptions to the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May 2018 and...
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25th 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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25th Jul
Practice notes
The Data Protection Act 2018The Data Protection Act 2018 (DPA 2018) came into force on 25 May 2018. As first enacted it introduced four distinct data...
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25th Jul
Practice notes
Notice obligations under the DPA 1998 [Archived]ARCHIVED: This archived Practice Note provides information on the data protection regime before 25 May...
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25th Jul
Practice notes
Outsourcing and data protectionSTOP PRESS: On 13 July 2021 the European Data Protection Board published its finalised and updated Guidelines 07/2020...
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Produced in partnership with Marina Paul 25th Jul
Practice notes
Data protection principlesOn 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,...
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Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 25th Jul
Practice notes
UK GDPR and EU GDPR—extra-territorial reachOn 31 January 2020, the UK ceased to be an EU Member State and entered the Brexit implementation period....
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9th 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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16th Jun
Practice notes
Cybersecurity—Australia—Q&A guide [Archived, 2019 edition]This Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Australia...
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8th Jun

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