This Practice Note, produced in partnership with Sarah Clarke of Hardwicke, looks at the long awaited Insolvency (England and Wales) Rules 2016 (IR 2016), SI 2016/1024 which were published and laid before parliament on 25 October 2016. It summarises the key features of the IR 2016. This Practice Note has been archived and is not maintained.
The Financial Conduct Authority (FCA) is likely to prefer to use its formal, statutory information gathering powers to require the production of documents and information, but there are certain situations where informal requests for documents and information are more effective, or necessary, for the overall integrity of an investigation. This Practice Note introduces the scenarios where an informal, voluntary approach tends to be used and the ways in which the FCA is able to request information from firms and individuals on a voluntary basis. This includes the voluntary provision of witness statements and internal investigation reports, as well as voluntary attendance at interview.
This Practice Note, produced in partnership with Sri Carmichael and Sarah Clarke of Gatehouse Chambers, covers appeals against orders made in civil directors’ disqualification proceedings in England and Wales. It looks at when an appeal may be made, what court to bring the appeal in, and the process to be followed.
This Practice Note provides information on the various offences that can be committed by a firm or individual during the course of an investigation by the Financial Conduct Authority (FCA). This includes failure to comply with a document or information requirement; destroying, falsifying or concealing documents; providing information which is known to be false or misleading; or obstructing a search warrant.
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