Risk management and controls

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Practice notes
The roles of nominated officer and money laundering reporting officerA nominated officer is an individual who is nominated by a firm to receive...
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21st Oct
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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19th Oct
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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5th Oct
Practice notes
This Practice Note sets out and examines the consumer credit regulated activities in the Financial Services and Markets 2000 (Regulated Activities)...
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5th Oct
Practice notes
This Practice Note discusses the regulatory issues faced by crowdfunding platforms from a financial services perspective. It should be read in...
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5th Oct
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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1st Oct
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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26th Sep
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...
Read More >
26th Sep
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. For...
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26th Sep
Practice notes
Background to the regulation of home finance transactionsThe regulation of home finance transactions came about at different points in time. HM...
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25th Sep
Practice notes
Goode consumer credit materials—default and enforcementFor further discussion on the topics raised in this Practice Note, a statement of the...
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25th Sep
Practice notes
BREXIT: The UK is leaving the EU on Exit Day (as defined in the European Union (Withdrawal) Act 2018). This has an impact on this Practice Note. For...
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25th Sep
Practice notes
In this Practice Note, references to exemptions relate to persons who are exempt from the need to apply for authorisation from the Prudential...
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25th Sep
Practice notes
Goode: Consumer Credit Law and Practice This volume contains thirteen divisions and states the current law with commentary on consumer credit in the...
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25th Sep
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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25th Sep
Practice notes
This Practice Note discusses the main Financial Conduct Authority (FCA) provisions applying to appointed representatives (ARs) that carry out...
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25th Sep

Most recent Risk management and controls content

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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16th Oct
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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Produced in partnership with Pillsbury Winthrop Shaw Pittman LLP 16th Oct
Practice notes
Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...
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16th Oct
Practice notes
ARCHIVED: This Practice Note introduces the data export restriction under the Data Protection Act 1998 (DPA 1998) prohibiting the transfer of personal...
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Produced in partnership with Fieldfisher LLP 16th Oct
Practice notes
Why is data protection of relevance?Appropriate use and handling of personal data is very much at the heart of the objectives of the Financial Conduct...
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Produced in partnership with Stephen Bonner of KPMG 19th Oct
Practice notes
Introduction to cybersecurity in financial services firmsIn the wake of continued escalations in phishing and denial of service attacks against banks...
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Produced in partnership with Jennifer Archie, Lore Leitner and Alexander Stout of Latham and Watkins LLP 19th Oct
Practice notes
Legislative framework for data securityGeneral Data Protection Regulation The General Data Protection Regulation (EU) 2016/679 (GDPR) applies from 25...
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19th Oct
Practice notes
Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...
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Produced in partnership with Alex Brown of Simmons & Simmons 19th Oct
Practice notes
Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...
Read More >
19th Oct
Practice notes
Brexit: The Retained General Data Protection Regulation, Retained Regulation (EU) 2016/679 (UK GDPR) regime described in this Practice Note is the UK...
Read More >
19th Oct
Practice notes
Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...
Read More >
19th Oct
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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19th Oct
Practice notes
General role and responsibility of a non-executive director (NED)For information about the roles and responsibilities of NEDs, see Practice Note:...
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21st Oct
Practice notes
Brexit: As of exit day (31 January 2020), the UK is no longer an EU Member State, but it has entered an implementation period during which it...
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22nd Oct
Practice notes
Brexit: On 31 January 2020, the UK ceased to be an EU Member State and entered an implementation period, during which it continues to be subject to EU...
Read More >
23rd Oct

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