FCA investigations and enforcement

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Practice notes
Common law offence of kidnappingThe offence of kidnappingKidnapping is a common law offence and is triable only on indictment. It may be classified in...
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19th May
Practice notes
Boiler room fraudWhat is a boiler room fraud?Boiler rooms are the names ascribed to high pressure sales environments. The idea is that the sales...
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19th May
Practice notes
Breach of a community orderThis Practice Note reflects the procedural code for sentencing offenders in England and Wales (Sentencing Code) that...
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19th May
Practice notes
Procedure during a Crown Court trial—arraignment, trial requirements and evidenceCoronavirus (COVID-19): This Practice Note contains guidance impacted...
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Produced in partnership with Leon Kazakos QC of 2 Hare Court 19th May
Practice notes
Handling stolen goodsThe ‘handling’ offenceHandling stolen goods is an offence that is triable either way.The elements of the offence are:•dishonestly...
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19th May
Practice notes
NMC disciplinary processNursing and Midwifery CouncilThe Nursing and Midwifery Council (NMC) is the regulatory body for all nurses and midwives...
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Produced in partnership with John Donnelly and Sam Shurey of 2 Bedford Row 19th May
Q&As
What is the time limit for bringing a prosecution for a summary only offence?We refer you to Practice Note: Commencing criminal proceedings—applying...
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19th May
Practice notes
Grounds for refusing bailThe right to bailThe Bail Act 1976 (BA 1976) gives a general right to bail to:•any person appearing before a magistrates’...
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19th May
Practice notes
Indications on sentenceJudicial independence is fundamental to the rule of law. The integrity of the criminal justice system depends on a fair and...
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19th May
Practice notes
Starting an appeal in the Court of Appeal Criminal Division (CACD)Coronavirus (COVID-19): This Practice Note contains guidance impacted by the...
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19th May
Practice notes
Duress and necessityDuress by threatsDuress by threats provides a complete defence to a charge of any offence other than murder, attempted murder and...
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19th May
Practice notes
Supplying a controlled drug and offering to supplyThe offence of supplying controlled drugs The section 4 of the Misuse of Drugs Act 1971 (MDA 1971)...
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19th May
Practice notes
Abuse of process procedureFor an explanation of when abuse of process applications may arise in criminal proceedings, see Practice Note: Abuse of...
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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

Most recent FCA investigations and enforcement content

Practice notes
Unauthorised business and enforcement powers of the FCAOverviewThe Financial Services and Markets Act 2000 (FSMA 2000) prohibits any person from...
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Produced in partnership with Brown Rudnick 28th Jul
Practice notes
FCA enforcement essentials—investigationsLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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28th Jul
Practice notes
Surveillance and intelligence gathering powers of the FCAThe Investigatory Powers Act 2016 (IPA 2016) received Royal Assent on 29 November 2016 and...
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Produced in partnership with Richard Hanstock of Cornerstone Barristers 26th Jul
Practice notes
The FCA and financial crimeThe Financial Services Act 2012 (FSA 2012) significantly altered the regulatory landscape for financial services in the UK...
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22nd Jul
Practice notes
Internal company fraud investigationsPreliminary stepsBefore any action is taken it is important to consider:•what is the event which has created the...
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21st Jul
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 13th 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 13th Jul
Practice notes
FCA and PRA disclosure issues—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Brown Rudnick 13th Jul
Practice notes
Financial Conduct Authority interviews and production of documentsFinancial Conduct Authority interviewsThe Financial Conduct Authority (FCA) can...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 13th Jul
Practice notes
Sanctions compliance—considerations for corporate crime lawyersOrganisations should have a clear understanding of both the financial and trade...
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Produced in partnership with Roger Matthews of Dentons and John Binns of BCL Solicitors LLP 6th Jul
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 28th Jun
Practice notes
Financial Conduct Authority—powersBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation...
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24th Jun
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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24th Jun
Practice notes
Appointment and powers of FCA investigators in criminal casesThe Financial Conduct Authority (FCA) has a wide-ranging brief, which includes the...
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18th Jun
Practice notes
Dealing with the FCA—informal requests for informationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 5th Jun
Practice notes
FCA document and information requirements: protected items (privilege) and banking confidentialityLexis®PSL Financial Services FCA/PRA Enforcement...
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Produced in partnership with Brown Rudnick 5th Jun
Practice notes
Enforcement action for non-compliant financial promotionsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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5th Jun
Practice notes
FCA disciplinary and other enforcement action against firms—one minute guideLexis®PSL Financial Services FCA/PRA Enforcement Database: This...
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5th Jun
Practice notes
Offences during an FCA investigationLexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 5th Jun

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