Financial services offences

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Practice notes
The rules relating to the form of indictments and the procedure for their creation and adoption are contained in the following: •the Indictments Act...
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9th Nov
Practice notes
OmissionA defendant must be shown to have had the relevant mental state of mind or intention at the time that the act comprising offence is committed....
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9th Nov
Practice notes
The offence of actual bodily harmThe offence of assault occasioning actual bodily harm (ABH) can be tried in either the magistrates' court or the...
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9th Nov
Practice notes
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 person...
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9th Nov
Practice notes
The offence of possession of a bladed articleThe offence of having a bladed article in a public place can be tried in either the magistrates' court or...
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9th Nov
Practice notes
The introduction of trial by a single justice was a response to a belief, on the part of the government, that the use of two or three justices to deal...
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Produced in partnership with Quinton Newcomb of Fulcrum Chambers 12th Jan
Practice notes
What is a boiler room fraud?Boiler rooms are the names ascribed to high pressure sales environments. The idea is that the sales environment creates...
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9th Nov
Practice notes
Production ordersThe purpose of a production order is to obtain material relating to a known person or business, such as bank statements and...
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9th Nov
Practice notes
Coronavirus (COVID-19): This Practice Note contains guidance impacted by the Scottish government’s response to the COVID-19 outbreak. For information...
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Produced in partnership with Kevin Henry of Optimum Advocates and Stephen O’Rourke QC of Terra Firma Chambers 12th Jan
Practice notes
Serious crime prevention orders (SCPOs) were created by Part 1 of the Serious Crime Act 2007 (SCA 2007) and are civil orders used against those...
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9th Nov
Practice notes
Elements of the offence of perverting the course of justicePerverting the course of justice is a common law offence which can only be tried on...
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Produced in partnership with Thomas Evans of 3 Paper Buildings 12th Jan
Practice notes
Section 9 and Schedule 1 of the Police and Criminal Evidence Act 1984 (PACE 1984) afford access to material that cannot be obtained by an application...
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Produced in partnership with Paul Ozin QC and Alex Mills of 23 Essex Street Chambers 12th Jan
Practice notes
This Practice Note explains the right of defendants who have been convicted in criminal proceedings to appeal against their convictions in the...
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Produced in partnership with Doughty Street Chambers 12th Jan
Practice notes
Fraud by failure to disclose information while under a legal duty to do so An offence of fraud by failure to disclose is committed where a...
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9th Nov
Practice notes
Coronavirus (COVID-19): This Practice Note contains guidance impacted by the Coronavirus Act 2020 (CA 2020). CA 2020, among other measures, makes...
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9th Nov
Practice notes
Coronavirus (COVID-19): This Practice Note contains guidance impacted by the coronavirus pandemic. The Coronavirus Act 2020 (CA 2020) among other...
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9th Nov

Most recent Financial services offences content

Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP 9th Apr
Practice notes
This Practice Note is concerned with one of the three criminal offences created under section 52 of the Criminal Justice Act 1993 (CJA 1993), that is...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
Practice notes
ARCHIVED: This archived Practice Note is not being maintained. In addition to the regime governing civil/regulatory market abuse, the Financial...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
9th Apr
Practice notes
This Practice Note is archived as is not maintained. This Practice Note provides an overview of the civil/regulatory regime which governed market...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
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9th Apr
Practice notes
Insider dealing is the use of sensitive or privileged information that has not yet been released to the public to take advantage of the market. When...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
9th Apr
Practice notes
This Practice Note is concerned with one of the three criminal offences created under section 52 of the Criminal Justice Act 1993, that is encouraging...
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9th Apr
Practice notes
IP COMPLETION DAY: 11pm (GMT) on 31 December 2020 marks the end of the Brexit transition/implementation period entered into following the UK’s...
Read More >
9th Apr
Practice notes
BREXIT: 11pm (GMT) on 31 December 2020 (‘IP completion day’) marked the end of the Brexit transition/implementation period entered into following the...
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8th Apr
Practice notes
This quick guide provides high-level information on the measures taken under the European Union (Withdrawal) Act 2018 (EU(W)A 2018) to onshore...
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8th Apr
Practice notes
The general prohibition under FSMA 2000The general prohibition is a concept at the heart of the UK regulatory system. This means that persons...
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Produced in partnership with Sarah Clarke QC of Serjeants' Inn 23rd Mar
Practice notes
Lexis®PSL Financial Services FCA/PRA Enforcement Database: This incorporates detailed information on all substantive FCA and PRA Final Notices and,...
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Produced in partnership with Sarah Clarke of Hardwicke Chambers 23rd Mar
Practice notes
This Practice Note provides an overview of the offence of insider dealing as prescribed by Retained Regulation (EU) 596/2014 (UK Market Abuse...
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16th Mar
Practice notes
Introduction to the senior managers regimeThe Senior Managers and Certification Regime (SM&CR) is a comprehensive suite of legislation, regulation and...
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Produced in partnership with Michael Potts of Byrne and Partners LLP 16th Mar
Practice notes
What is a boiler room fraud?Boiler rooms are the names ascribed to high pressure sales environments. The idea is that the sales environment creates...
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16th Mar

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