Q&As

Is a financial adviser required to disclose a previous conviction when providing services to a client?

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Published on LexisPSL on 21/12/2016

The following Financial Services Q&A provides comprehensive and up to date legal information covering:

  • Is a financial adviser required to disclose a previous conviction when providing services to a client?

Presuming that the firm that the financial adviser works for is authorised by the Financial Conduct Authority (FCA) and that the adviser is also FCA approved, there would have been an obligation to disclose the conviction to the FCA (see FCA webpage: Disclosing criminal convictions).

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