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
Remuneration Code for Dual Regulated FirmsPurpose and context of the Remuneration CodeThe aim of the Remuneration Code is to ensure that firms have...
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12th Aug
Practice notes
Prudential Regulation Authority—Fundamental RulesBackground to the Fundamental RulesPrior to the creation of the Financial Conduct Authority (FCA) and...
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11th Aug
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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11th Aug
Practice notes
IFPRU Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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11th Aug
Practice notes
AIFMD—Remuneration Code .What is the AIFMD?The AIFMD (Directive 2011/61/EU) covers the management, administration and marketing of alternative...
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11th Aug
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 11th Aug
Practice notes
Monitoring staff, IT and communications systems in the workplaceFrom IP completion day (11pm on 31 December 2020), Regulation (EU) 2016/679, General...
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11th Aug
Practice notes
Processing personal data—standard of consentThis Practice Note is based on the UK General Data Protection Regulation (UK GDPR) and consent guidance...
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1st Aug
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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31st Jul
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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31st 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 31st Jul
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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31st 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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31st 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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31st 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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31st 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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31st 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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31st Jul
Practice notes
Cloud computing—Brazil—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Brazil published as part of the...
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31st 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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31st Jul

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