FCA investigations

FCA investigations guidance:

Deferred Prosecution Agreement A Deferred Prosecution Agreement (DPA) is an agreement between a prosecutor and an organisation facing prosecution for an alleged economic...

Practice Note

The Financial Conduct Authority (FCA) has a wide-ranging brief, which includes the ability to enforce compliance with its rules and competition law in order to meet its...

Practice Note

What is the FCA? The Financial Conduct Authority (FCA) regulates financial services firms operating in the UK and providing services to consumers. It also maintains the...

Practice Note

Authority to conduct a dawn raid The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) can carry out dawn raids on the premises of firms...

Practice Note

The Financial Conduct Authority (FCA) has various powers (see sections 97, 131E, 131F, 165–169, 171–173, 175, 176 and 284 of the Financial Services and Markets Act 2000...

Practice Note

The Financial Conduct Authority (FCA) has a variety of powers under the Financial Services and Markets Act 2000 (FSMA 2000). This Practice Note will discuss the FCA’s...

Practice Note

Search and seizure—the law The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA) (together, the Regulators) have powers of entry, search and...

Practice Note

FCA and PRA rules on whistleblowing On 6 October 2015, the Financial Conduct Authority (FCA), alongside the Prudential Regulation Authority (PRA) published policy...

Practice Note

Information and document requirements Financial regulators (the regulators) (ie the Financial Conduct Authority (FCA) (previously the Financial Services Authority (FSA))...

Practice Note

In recent years, as part its policy of ‘credible deterrence’, the Financial Conduct Authority (FCA) has sought to take more disciplinary action against individuals,...

Practice Note

Financial Conduct Authority interviews The Financial Conduct Authority (FCA) can conduct interviews in a variety of formats. The type of interview to be conducted is a...

Practice Note

Search and seizure—the law The FCA has the power under the Financial Services and Markets Act 2000 (FSMA 2000), s 176 to apply to a magistrate for a warrant to enter...

Practice Note

Introduction The Financial Conduct Authority (FCA)’s financial crime guide is entitled Financial Crime Guide: A firm's guide to countering financial crime risks (FCG)....

Practice Note

Preliminary steps Before any action is taken it is important to consider: • the event which has created the suspicion of fraud in the company • the financial impact this...

Practice Note

What is LIBOR? LIBOR stands for the London Inter-Bank Offered Rate. It is the world’s most widely used benchmark for short-term interest rates. LIBOR was historically...

Practice Note

The consequences of a failure to comply with a requirement under Part XI of the Financial Services and Markets Act 2000 (FSMA 2000) (for example, failure to provide...

Practice Note

The Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and overhauled the legal framework governing the use of covert surveillance by...

Practice Note

The Financial Services Act 2012 (FSA 2012) significantly altered the regulatory landscape for financial services in the UK by, inter alia, introducing the Prudential...

Practice Note

Employment Rights Act 1996 and Public Interest Disclosure Act 1998 Under the Employment Rights Act 1996 (ERA 1996), as amended by the Public Interest Disclosure Act 1998...

Practice Note
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