FCA and financial crime—duties, powers, procedures, approaches

FCA and financial crime—duties, powers, procedures, approaches guidance:

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...

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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...

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

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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...

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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...

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The Financial Services and Markets Act 2000 (FSMA 2000) creates a range of criminal and civil/regulatory offences. For further information on civil/regulatory breaches...

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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)....

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Elements of the offence of misleading statements in relation to benchmarks The Financial Services Act 2012 (FSA 2012) introduces an offence in respect of misleading...

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BREXIT: As of exit day (31 January 2020) the UK is no longer an EU Member State. However, in accordance with the Withdrawal Agreement, the UK has entered an...

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Change in control of authorised persons Part XII of the Financial Services and Markets Act 2000 (FSMA 2000) requires individuals or corporate bodies wishing to acquire or...

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Criminal offences under the Payment Services Regulations 2017 Under regulation 138 of the Payment Services Regulations 2009, SI 2017/752 (PSRs 2017), it is an offence to...

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

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