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
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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31st 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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31st 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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31st Jul
Practice notes
Cloud computing—Switzerland—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Switzerland published as part...
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31st Jul
Practice notes
FCA Remuneration Code Principles—comparison checklistBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st 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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31st Jul
Practice notes
Cloud computing—Japan—Q&A guideThis Practice Note contains a jurisdiction-specific Q&A guide to cloud computing in Japan published as part of the...
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31st Jul
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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31st Jul
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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31st Jul
Practice notes
Operational risk requirements for insurersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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31st 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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31st 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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31st Jul
Practice notes
Remuneration Code for BIPRU firmsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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31st Jul
Practice notes
UCITS Remuneration CodeBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period...
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31st Jul
Practice notes
On 31 January 2020, the UK ceased to be a member of the EU and EEA. This Practice Note introduces:•the General Data Protection Regulation, Regulation...
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24th Mar
Practice notes
UK and EU data protection laws each include a right to data portability. This right allows individuals to obtain from a controller a copy of their...
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Produced in partnership with Alex Brown of Simmons & Simmons 24th Mar
Practice notes
This Practice Note considers the implications of the Prudential Regulation Authority (PRA) and the Financial Conduct Authority (FCA) being within the...
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1st Mar
Q&As
Key legislationThe freedom of information regime in the United Kingdom is governed by the following legislation:•Freedom of Information Act 2000 (FIA...
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28th Jan

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