Financial services offences

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Practice notes
Voluntary manslaughterVoluntary manslaughterVoluntary manslaughter consists of those killings which would be murder (because the accused has the...
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19th May
Practice notes
Asset strippingWhat is asset stripping?Asset stripping involves taking company funds or assets while leaving behind the debts. Sometimes directors...
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Produced in partnership with Micheal Murphy and Amelia Clegg of 23 Essex Street Chambers 19th May
Practice notes
Sexual risk ordersSTOP PRESS: All offenders convicted on or after 1 December 2020 must be sentenced under the provisions of the Sentencing Code,...
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Produced in partnership with Monica Stevenson of 25 Bedford Row 19th May
Practice notes
Stages of a summary trialCoronavirus (COVID-19): This Checklist contains guidance impacted by the coronavirus pandemic. The Coronavirus Act 2020 (CA...
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19th May
Practice notes
Fraud by failure to disclose and abuse of positionFraud by failure to disclose information while under a legal duty to do so An offence of fraud by...
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19th May
Practice notes
Witness intimidationIntimidation of witnesses and jurorsIntimidation of witnesses and/or jurors is an offence under section 51 of the Criminal Justice...
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Produced in partnership with Thomas Evans of 3 Paper Buildings 19th May
Practice notes
Dishonesty in the criminal lawDishonesty is a state of mind, which is relevant for the purposes of some criminal offences. Dishonesty provides the...
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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
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
Conducting 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
Sexual harm prevention ordersSTOP PRESS: All offenders convicted on or after 1 December 2020 must be sentenced under the provisions of the Sentencing...
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Produced in partnership with Monica Stevenson of 25 Bedford Row 19th May
Practice notes
Abuse of process in criminal proceedingsThe procedure for making an application to stay proceedings due to abuse of process is governed by rule 3.28...
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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
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
Improvement and Prohibition Notices under the Health and Safety at Work etc Act 1974Enforcement of Part I of the Health and Safety at Work etc Act...
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Produced in partnership with James Purnell, Abigail Cohen and Lia Moses of Henderson Chambers 19th May
Practice notes
Trials under the Scottish solemn procedureCoronavirus (COVID-19): Scottish criminal procedure has been impacted by the COVID-19 pandemic....
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Produced in partnership with Craig Findlater of Black Chambers and Stephen O'Rourke QC of Terra Firma Chambers 19th May

Most recent Financial services offences content

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
Market Abuse Regulation—unlawful disclosure of inside information and market soundings—quick guideThis Practice Note provides a quick guide to the key...
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31st Jul
Practice notes
Impact of Brexit: Market Abuse Regulation—quick guideThis quick guide provides high-level information on the measures taken under the European Union...
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31st Jul
Practice notes
Benchmark enforcement action—essentialsBREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit...
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Produced in partnership with Brown Rudnick 31st Jul
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 Gatehouse Chambers 31st Jul
Practice notes
Unauthorised business and the approach to enforcement—criminal proceedingsThe general prohibition under FSMA 2000The general prohibition is a concept...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 31st Jul
Practice notes
Financial crime in the financial services sectorMarket abuse and insider dealing are forms of financial crime involving misconduct in, or misuse of...
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30th Jul
Practice notes
Offences relating to change in control of UK authorised personsChange in control of authorised personsPart XII of the Financial Services and Markets...
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30th Jul
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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30th Jul
Practice notes
Asset strippingWhat is asset stripping?Asset stripping involves taking company funds or assets while leaving behind the debts. Sometimes directors...
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Produced in partnership with Micheal Murphy and Amelia Clegg of 23 Essex Street Chambers 30th Jul
Practice notes
Offence of causing a financial institution to fail and other offences under FS(BR)A 2013Introduction to the senior managers regimeThe Senior Managers...
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Produced in partnership with Michael Potts of PCB Byrne 30th Jul
Practice notes
Share rampingWhat is share ramping?Share ramping is a form of illegal market abuse that involves talking up the price of particular shares in order to...
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30th Jul
Practice notes
Misleading statements etc in relation to benchmarksFORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases the...
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30th Jul
Practice notes
Misleading statements under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 30th Jul
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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30th Jul
Practice notes
Insider dealing—sentence trackerFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for...
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30th Jul
Practice notes
Criminal insider dealing (disclosing inside information offence)—a quick guideFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021...
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30th Jul
Practice notes
Misleading impressions under the Financial Services Act 2012FORTHCOMING CHANGE: Section 31(2) of the Financial Services Act 2021 (FSA 2021) increases...
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30th Jul
Practice notes
Insider dealingFORTHCOMING CHANGE: Section 31(1) of the Financial Services Act 2021 (FSA 2021) increases the maximum sentence for insider dealing...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 30th Jul

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