Financial services and pensions offences

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Practice notes
Recklessness in criminal casesWhat is recklessness?In respect of some statutory offences and common law crimes the prosecution are required to prove a...
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19th May
Practice notes
Entrapment There is no defence of entrapment in English law but it is considered to be an abuse of the process of the court for state agents to lure a...
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19th May
Practice notes
Unlawful wounding or inflicting grievous bodily harmThe offence of unlawful wounding or inflicting grievous bodily harmThe offence of unlawful...
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19th May
Practice notes
Criminal insider dealing (encouraging offence)—a quick guideThis Practice Note is concerned with one of the three criminal offences created under...
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19th May
Practice notes
Possession of an offensive weaponThe offence of possession of an offensive weaponThe offence of having an offensive weapon in a public place can be...
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19th May
Practice notes
PerjuryPerjury in judicial proceedings The offence of perjury is triable only on indictment and carries a maximum penalty of seven years and/or a...
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Produced in partnership with Thomas Evans of 3 Paper Buildings 19th May
Practice notes
Extreme pornographyPossessing extreme pornographySimple possession of extreme pornography is an offence under section 63 of the Criminal Justice and...
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19th May
Practice notes
Breach of a suspended sentenceThis Practice Note reflects the procedural code for sentencing offenders in England and Wales (Sentencing Code) that...
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19th May
Practice notes
Corporate criminal liabilityThis Practice Note deals with what is meant by corporate liability in relation to criminal law. It covers establishing...
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19th May
Practice notes
NMC Fitness to Practise Hearings—the impairment stageCoronavirus (COVID-19): This Practice Note contains guidance on subjects potentially impacted by...
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Produced in partnership with John Donnelly and Sam Shurey of 2 Bedford Row 19th May
Practice notes
Anti-social behaviour—environmental breachesThis Practice Note explains the powers available to deal with anti-social behaviour in an environmental...
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Produced in partnership with Jeremy Phillips and Charles Forrest of Francis Taylor Building 19th May
Practice notes
Appeal by way of case statedA challenge to a decision of the lower courts can be brought in various ways, including by way of appeal, judicial review...
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19th May
Practice notes
Criminal Practice DirectionsThe Lord Chief Justice has power, including power under the Courts Act 2003 and the Constitutional Reform Act 2005, to...
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19th May
Practice notes
Procedure for making bail applications and appealsCoronavirus (COVID-19): This Practice Note contains guidance impacted by the coronavirus pandemic....
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19th May
Practice notes
Is an arrest necessary?Lawful arrest—human rightsThe right to liberty is a fundamental principle of the Human Rights Act 1998 (HRA 1998), which itself...
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19th May

Most recent Financial services and pensions offences content

Q&As
Under what provisions and on what basis can the Financial Conduct Authority prosecute offences under the Fraud Act 2006?The Financial Conduct...
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Produced in partnership with Jamas Hodivala of Matrix Chambers 5th Aug
Practice notes
FCA financial crime guidance: FCG, FCTR and supporting materialsThis Practice Note explains the constituent parts of the Financial Conduct Authority...
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4th Aug
Practice notes
Regulatory action against Senior ManagersLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Lucy Kerr of RPC and Jonathan Cary 1st Aug
Practice notes
Dealing with the Pensions RegulatorThe Pensions Regulator is the UK regulator of work-based pension schemes. This Practice Note sets out the role and...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 1st Aug
Practice notes
Dealing with dawn raids by the Financial Conduct AuthorityWhat is the FCA?The Financial Conduct Authority (FCA) regulates financial services firms...
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Produced in partnership with Michael Potts of PCB Byrne 1st Aug
Practice notes
The Pensions Regulator—beginners’ guideThis guide is primarily aimed at trainees, newly qualified lawyers and other persons who are new to or...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 31st Jul
Practice notes
The role of the Pensions RegulatorThis Practice Note provides an overview of the role of the Pensions Regulator. For information on the role of the...
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Produced in partnership with Wyn Derbyshire of gunnercooke LLP 31st Jul
Practice notes
FCA enforcement essentials—enforcement processLexis®PSL Financial Services Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Alix Prentice & Wilson Antoon of King & Wood Mallesons 31st Jul
Practice notes
UK regulators—non-FSMA enforcement powersIn addition to powers granted under the Financial Services and Markets Act 2000 (FSMA 2000), the Financial...
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31st Jul
Practice notes
Financial Conduct Authority—objectives and principlesThe role of the FCAThe Financial Conduct Authority (FCA) forms part of the regulatory structure...
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31st Jul
Practice notes
Whistleblowing and when to report a breach to the Pensions RegulatorCORONAVIRUS (COVID-19) UPDATE: The Pensions Regulator has granted certain...
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31st Jul
Practice notes
FCA and PRA search and seizure powers and dawn raidsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information...
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Produced in partnership with Sara Cody of Linklaters 31st Jul
Practice notes
Making a reference to the Upper Tribunal following an FCA decisionLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates...
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31st Jul
Practice notes
Directive 2014/57/EU on criminal sanctions for market abuseBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Ms Alison Geary of WilmerHale 31st Jul
Practice notes
Payment Services Regulations 2017—criminal offences and the FCA's and PSR's approachesCriminal offences under the Payment Services Regulations...
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31st Jul
Practice notes
Whistleblowing—UK regulatory issuesBREXIT: 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
FCA and PRA whistleblowing requirements—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 DLA Piper 31st Jul

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