Content Options

Content Options

View Options

You are viewing the version of the document as on 2022-01-01.

EG 4.3 1Notification where a particular person is not yet under investigation

EG 4.3.1RP

1In investigations into possible insider dealing, market abuse, misleading statements and practices offences, breaches of the general prohibition, the restriction on financial promotion, or the prohibition on promoting collective investment schemes, the investigator may not know the identity of the perpetrator or may be looking into market circumstances at the outset of the investigation rather than investigating a particular person. In those circumstances, the FCA will give an indication of the nature and subject matter of its investigation to those who are required to provide information to assist with the investigation. As soon as a person becomes the focus of the FCA's enquiries, the FCA will consider whether it is appropriate to notify that person that they are under investigation. The FCA will usually notify them when it exercises its statutory powers to require information from them unless doing so would prejudice the FCA's ability to conduct the investigation effectively.