Risk management and controls

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Practice notes
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
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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
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
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
Overview of UK implementation of the Consumer Credit DirectiveBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the...
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Produced in partnership with Sam Millar of DLA Piper and Tony Katz of DLA Piper 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
What are regulated activities?Under the general prohibition a person cannot carry out a regulated activity, or purport to carry out a regulated...
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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
EMIR REFIT and EMIR 2.2 roadmapRegulation (EU) 2019/834 (OJ L 141/42) (EU EMIR REFIT) was published in the Official Journal of the EU on 28 May 2019...
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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 Financial Services Compensation SchemeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Honor Levy of LexisNexis 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
Unregulated collective investment schemes—essentialsWhat are unregulated collective investment schemes?In the UK, an unregulated collective investment...
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Produced in partnership with Lora Froud of Macfarlanes 19th May
Practice notes
Responsible lending requirements—CONC 5BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Jacqui Hatfield of Orrick, Herrington & Sutcliffe 19th May

Most recent Risk management and controls content

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 Aug
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 Aug
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 Aug
Practice notes
Outsourcing and data protectionIn briefData protection laws in both the EEA (the EU plus Iceland, Norway, and Liechtenstein) and UK seek to ensure...
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Produced in partnership with Marina Paul 25th Aug
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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24th Aug
Practice notes
Cybersecurity—Singapore—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Singapore published as part of the...
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24th Aug
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 24th Aug
Practice notes
Cybersecurity—Germany—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Germany published as part of the...
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24th Aug
Practice notes
Cybersecurity—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cybersecurity in Japan published as part of the Lexology...
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24th Aug
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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24th Aug
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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24th Aug
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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24th Aug
Practice notes
Financial services firms—legal obligation and legitimate interest under the GDPR—one minute guideBREXIT: 11pm (GMT) on 31 December 2020 (‘IP...
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24th Aug
Practice notes
GDPR for financial services firms—one minute guideBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Curtis McCluskey of Reed Smith LLP 24th Aug
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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23rd Aug
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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23rd Aug
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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20th Aug
Practice notes
Systems and controls to prevent money laundering and counter terrorist financingBREXIT: The UK’s exit from the EU and the end of the implementation...
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20th Aug
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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12th Aug

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