The Money Laundering Reporting Officer (MLRO)This Practice Note provides information on the role of the nominated officer and the Money Laundering...
Financial Conduct Authority—Principles for Businesses (PRIN)This Practice Note explains the Principles for Businesses (PRIN) set down by the Financial...
Second charge mortgage regimeSecond charge mortgages definedA regulated second charge mortgage is a loan secured on a borrower’s property that is used...
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct authority (FCA) forms part of the regulatory structure...
Interaction between the PRA, FCA and FPCThis Practice Note explains the interaction and co-ordination between the Financial Conduct Authority (FCA), the Payment Systems Regulator (PSR), the Prudential Regulation Authority (PRA) and the Financial Policy Committee (FPC). It also gives an overview of
International Organization of Securities Commissions (IOSCO) [Archived]International Organisation of Securities Commissions The International Organization of Securities Commissions (IOSCO) emerged in 1983 from a decision by several north and south American securities regulatory agencies. Its
Prudential Regulation Authority—powersSTOP PRESS—Impact of the Retained EU Law (Revocation and Reform) Act 2023: This document contains references to retained EU law (REUL) and associated terms introduced by the European Union (Withdrawal) Act 2018 in connection with Brexit. From 1 January 2024,
Scotland—the process for applying for sequestrationSequestration in Scotland is the legal process by which an insolvent debtor’s estate is gathered in, realised and then distributed among their creditors by a trustee appointed for that purpose. The process requires that a formal award of
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