FS00001
Knowingly / recklessly give an appointed auditor / actuary false / misleading information
Contrary to section 346(1) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
Offence classifications
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FS00010
Knowingly / recklessly give a regulator false / misleading information
Contrary to section 398(1) and (3) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00014
Carry on a regulated activity when not an authorised / exempt person
Contrary to section 23(1) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00014C
Conspiracy to carry on a regulated financial activity when not authorised
Contrary to Section 1(1) of the Criminal Law Act 1977.
CJS category CI Class 3 Custody Yes PNC Yes
FS00015
In the course of business communicate an invitation / inducement to engage in an investment activity
Contrary to section 25(1) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00016
Offer transferable securities to UK public when an approved prospectus was not made available
Contrary to section 85(1) and (3) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00017
Request admission of transferable securities to trading regulated UK market prospectus not available
Contrary to section 85(2) and (3) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00018
Unauthorised / exempt person describe self as authorised in relation to a regulated activity
Contrary to section 24(1)(a) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00019
Unauthorised / non exempt person describe self as exempt in relation to a regulated activity
Contrary to section 24(1)(b) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00020
Unauthorised / non exempt person behave in manner as if authorised / exempt in relation to a regulated activity
Contrary to section 24(1)(c) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00022
Perform / agree to perform a function in breach of a Financial Services and Markets Act prohibition order
Contrary to section 56(4) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody No PNC No
FS00024
Falsify / conceal / destroy / dispose of a document relevant to a Part XI investigation
Contrary to section 177(3)(a) and (5) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00025
Cause / permit the falsification / concealment / destruction / disposal of a document during a Part XI investigation
Contrary to section 177(3)(b) and (5) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00026
Provide false / misleading information in purported compliance with a Part XI requirement
Contrary to section 177(4) and (5) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00027
Intentionally obstruct the exercise of a right conferred by a warrant under s.176 Financial Services and Markets Act
Contrary to section 177(6) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00028
Fail to give notice to regulator of intention to acquire / increase / reduce / cease control over UK authorised person
Contrary to section 191F(1) and (8) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00029
Acquire / increase control over a UK authorised person before expiration of the assessment period
Contrary to section 191F(2) and (8) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00030
Contravene an interim condition / a condition in a warning notice / final notice confirming a decision notice
Contrary to section 191F(3) and (8) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00031
Make an acquisition in contravention of a warning / decision / final notice
Contrary to section 191F(4) and (9) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00032
Make an acquisition after appropriate regulator's approval ceased to have effect
Contrary to section 191F(5) and (8) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00033
Consumer credit EEA firm contravene a section 203 of the Financial Services and Markets Act 2000 prohibition
Contrary to section 203(9) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00034
Consumer credit EEA firm contravene a s.204 Financial Services and Markets Act restriction
Contrary to section 204(4) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody No PNC No
FS00035
Wrongly describe the s.19 general prohibition as not applicable in relation to a related activity
Contrary to section 333(1)(a) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class 3 Custody Yes PNC Yes
FS00036
Behave / hold self out as person to whom a section 333 general prohibition does not apply
Contrary to section 333(1)(b) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class 3 Custody Yes PNC Yes
FS00037
Primary recipient disclose confidential information
Contrary to section 352(1) and (2) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00038
Use information in contravention of disclosure regulations
Contrary to section 352(3) and (5) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00039
Use information obtained for purpose of Inland Revenue investigation
Contrary to section 352(4) and (5) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody Yes PNC Yes
FS00040
Director of insurance company fail to notify regulator of intention to propose resolution for voluntary winding up
Contrary to section 366(2) and (3) of the Financial Services and Markets Act 2000.
CJS category CS Class S Custody No PNC No
FS00045
Offer transferable securities to which s.85 apply to the public prior to a prospectus being available
Contrary to section 85(1) and (2) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
FS00046
Request admission of transferable securities to which s.85 applies to trading prior to a prospectus being available
Contrary to section 85(2) and (3) of the Financial Services and Markets Act 2000.
CJS category CE Class 3 Custody Yes PNC Yes
Source: Active CJS Offence Index, June 2026. 15,352 records.
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