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Financial services and pensions offences
Master the nuances of offences within the financial services sector with our expert guidance. This topic equips your team into understanding the intricate regulatory landscape, compliance requirements, and prosecution strategies to effectively defend your clients and uphold integrity.
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Practice notes
Criminal act or omissionFor a person to be found guilty of a criminal offence it must be shown that they:•acted in a particular way, or•failed to act...
30th May
In-house
Practice notes
Strict liabilityStrict liability applies to offences for which the prosecution is not required to prove mens rea for one or more elements of the...
Produced in partnership with Christopher Sykes of 33 Chancery Lane
30th May
Practice notes
Recklessness in criminal casesThe subjective test for recklessnessCertain statutory and common law offences allow the prosecution to prove mens rea on...
Produced in partnership with Christopher Sykes of 33 Chancery Lane
30th May
Practice notes
Involuntary manslaughterInvoluntary manslaughter—introductionManslaughter can be classified as either voluntary or involuntary. Voluntary manslaughter...
30th May
Practice notes
Common law offence of false imprisonmentThe offence of false imprisonmentFalse imprisonment is a common law offence but it is more common as a civil...
2nd Jun
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...
30th May
Practice notes
Causation and intervening acts in criminal casesCriminal offences are generally divided into two categories: •conduct crimes, and •result crimesA...
30th May
Practice notes
Causing fear or provocation of violenceThe offence of causing fear or provocation of violenceThe offence of causing fear or provocation of violence...
2nd Jun
Practice notes
Wounding or causing grievous bodily harm with intentThe offence of causing grievous bodily harm with intentWounding or causing grievous bodily harm...
30th May
Practice notes
Burden and standard of proof in criminal proceedingsThere are two kinds of ‘burden’ in criminal proceedings:•the legal burden, and•the evidential...
2nd Jun
Practice notes
Time limits for commencing criminal proceedingsFor information on how criminal prosecutions are commenced in England and Wales, see Practice Notes:...
2nd Jun
Practice notes
Specific and basic intentIntention refers to the outcome sought by the defendant. Offences may be described as either ones of ‘basic intent’ or of...
Produced in partnership with Christopher Sykes of 33 Chancery Lane
30th May
Practice notes
Threats to killThis Practice Note covers the offence of threats to kill. It looks at what the prosecution must prove and explores each of the elements...
2nd Jun
Practice notes
AutomatismDefinition of automatismAn act is done in a state of Automatism if it is done by the body without control by the mind, (eg it is a spasm or...
30th May
Most recent Financial services and pensions offences content
Practice notes
FCA disciplinary and other enforcement action against firms—one minute guideThe Financial Services Enforcement Database incorporates detailed...
23rd Jun
Practice notes
FCA financial crime guidance: FCG and FCTRThis Practice Note provides detailed practical guidance on the constituent parts of the Financial Conduct...
20th Jun
Practice notes
Dealing with the FCA—informal requests for informationStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new...
Produced in partnership with Niall Hearty of Rahman Ravelli
18th Jun
Practice notes
Regulatory action against Senior ManagersStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement Guide...
18th Jun
Practice notes
FCA enforcement essentials—investigationsStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement Guide...
18th Jun
Practice notes
FCA enforcement process—one minute guideStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement Guide...
18th Jun
Practice notes
Financial Conduct Authority—objectives and powersThis Practice Note explores the strategic and operational objectives and powers of the Financial...
18th Jun
Practice notes
Unauthorised business and enforcement powers of the FCA—one minute guideStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5,...
18th Jun
Practice notes
FCA and PRA disclosure issues—one minute guideStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new Enforcement...
18th Jun
Practice notes
FCA and PRA search and seizure powers and dawn raidsStop Press: On 3 June 2025, the FCA published Policy Statement PS25/5, introducing the new...
18th Jun
Practice notes
Unauthorised business and the approach to enforcement—criminal proceedingsThe general prohibition under FSMA 2000The general prohibition is a concept...
Produced in partnership with Sarah Clarke KC of Serjeants' Inn
18th Jun
Practice notes
FCA prosecution of criminal offences—essentialsThis Practice Note sets out criminal offences that the Financial Conduct Authority (FCA) can prosecute...
18th Jun
Practice notes
Impact of Brexit: Market Abuse Regulation—quick guide [Archived]This quick guide provides high-level information on the measures taken under the...
18th Jun
Practice notes
FCA document and information requirements: protected items (privilege) and banking confidentialityStop Press: On 3 June 2025, the FCA published Policy...
18th Jun
Practice notes
Enforcement action for non-compliant financial promotionsFCA approach on the supervision of financial promotionThis Practice Note provides information...
18th Jun
Practice notes
Offences during an FCA investigationLexis+® UK Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
Produced in partnership with Niall Hearty of Rahman Ravelli
18th Jun
Practice notes
Surveillance and intelligence gathering powers of the FCASTOP PRESS: The Investigatory Powers (Amendment) Act 2024 (IP(A)A 2024) received Royal Assent...
Produced in partnership with Richard Hanstock of Cornerstone Barristers
16th Jun
Practice notes
Misleading the market and market manipulation under s 397 FSMA 2000 [Archived]ARCHIVED: This archived Practice Note is not being maintained. In...
13th Jun
Checklists
Internal investigations into suspected offences—objectives and planning checklistThis Checklist summarises the issues which need to be considered when...
13th Jun
Practice notes
Criminal insider dealing—the encouraging offenceThis Practice Note is concerned with one of the three criminal offences created under section 52 of...
13th Jun
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