Systems and controls

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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
SM&CR—FCA and PRA Fitness and Propriety requirementsThe Senior Managers & Certification Regime (SM&CR) is the Financial Conduct Authority’s (FCA) and...
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Produced in partnership with John Drabble of Kemp Little LLP 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
OEIC and ICVC authorisation and winding-upBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Macfarlanes 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
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
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
SM&CR—Statements of Responsibility (SoRs)Banks, building societies, credit unions, PRA-regulated investment firms and insurers are required to file a...
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19th May
Practice notes
Financial Services Compensation Scheme (FSCS)—the qualifying conditions for compensationThis Practice Note covers the conditions necessary for the...
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Produced in partnership with Honor Levy of LexisNexis 19th May
Practice notes
The Single RulebookBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered...
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Produced in partnership with DLA Piper 19th May
Practice notes
COBS 4—exemptions in relation to UCIS and close substitutesBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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19th May
Practice notes
FCA best execution 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
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
FCA inducements 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

Most recent Systems and controls content

Practice notes
Cloud computing—Belgium—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Belgium published as part of the...
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25th Jul
Practice notes
Cloud computing—Netherlands—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Netherlands published as part...
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25th Jul
Practice notes
Cloud computing—France—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in France published as part of the...
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25th 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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25th Jul
Practice notes
Cloud computing—United Kingdom—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in United Kingdom published...
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25th Jul
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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25th 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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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
Senior management arrangements, systems and controlsThis Practice Note outlines the requirements of the Senior Management Arrangements, Systems and...
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19th Jul
Practice notes
Conflicts of interest in financial services firms—post MiFID II implementationBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the...
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19th Jul
Practice notes
The Money Laundering Reporting Officer (MLRO)OverviewThe requirements to have robust systems and controls in a regulated firm to prevent money...
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7th Jul
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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24th Jun
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
Outsourcing in the insurance sectorThis Practice Note examines outsourcing in the insurance sector. The related documents pod on the right includes...
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9th Jun
Practice notes
Systems and controls to prevent money laundering and counter terrorist financingThe requirements to have robust systems and controls in a regulated...
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5th Jun
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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5th Jun
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 5th Jun
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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5th Jun
Practice notes
Non-executive directors (NEDs) and effective corporate governance—expectations of the Financial Conduct Authority (FCA)General role and responsibility...
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5th Jun
Practice notes
Systems and controls to prevent bribery The Bribery Act 2010 (BA 2010) came into force on 1 July 2011. It is aimed at preventing corruption in...
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5th Jun

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