Financial Conduct Authority interviews and production of documents
Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP
Financial Conduct Authority interviews and production of documents

The following Corporate Crime practice note Produced in partnership with Joanna Dimmock, Tom Hickey and Fred Kelly of White & Case LLP provides comprehensive and up to date legal information covering:

  • Financial Conduct Authority interviews and production of documents
  • Financial Conduct Authority interviews
  • Voluntary interviews
  • Interviews under caution
  • Interviews under arrest
  • Interviews under compulsion
  • Production of documents—general powers
  • Contempt of Court
  • Production of documents in market abuse investigations
  • Offences in relation to search warrants

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 decision for the FCA (FCA Handbook Enforcement Guide, para 4.11.1). The FCA’s standard practice is to use statutory powers to require the answering of questions in interview. This is for reasons of fairness, transparency and efficiency (FCA Handbook Enforcement Guide, para 4.7.1).

Where the FCA suspects regulatory and/or criminal misconduct, it is not required to designate immediately whether any subsequent proceedings will be criminal or regulatory. The FCA has a discretion to use whatever powers it considers appropriate to perform its statutory function to investigate the alleged misconduct. If there is a possibility that the matter will become a criminal prosecution, the FCA may interview suspects under caution (FCA Handbook Enforcement Guide para 4.11.5).

The usual practice is for a lawyer to accompany an interviewee. If the interview is tape-recorded, the interviewee will be provided with a copy of the tape and, if one is made, a copy of the transcript (FCA Handbook Enforcement Guide, para 4.11.4). Although the FCA is not under an obligation to provide copies of the documents it intends to use at interview, generally the FCA will disclose these documents in advance of any interview it carries out. Any documents provided during the interview which have not

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