Financial Services criminal offences, investigations, prosecutions

This Overview is a guide to the LexisNexis Financial Services subtopic Financial Services criminal offences, investigations and prosecutions, and includes links to appropriate materials. This sub-topic considers the Financial Conduct Authority (FCA)’s powers in respect of criminal offences and the FCA’s investigatory process into alleged criminal wrongdoing. It also considers the role of the Serious Fraud Office (SFO) in investigating financial crime in the financial services sector and provides detail on deferred prosecution agreements (DPAs). The news tab in this sub-topic provides a history of FCA criminal prosecutions and SFO prosecutions relevant to financial services firms.

Practical guidance on FCA enforcement involving non-criminal matters (including financial crime compliance breaches) can be found in: FCA and PRA investigations, enforcement and discipline—overview.