Reset to Today

To access the FCA Handbook Archive choose a date between 1 January 2001 and 31 December 2004.

Content Options:

Content Options

View Options:


You are viewing the version of the document as on 2022-02-28.

Timeline guidance

Alternative versions

  1. Point in time
    2022-02-28

EG 3.7 1Investigations to assist overseas authorities (section 169)

EG 3.7.1RP

1The FCA's power to conduct investigations to assist overseas authorities is contained in section 169 of the Act. The section provides that at the request of an overseas regulator, the FCA may use its power under section 165 to require the production of documents or the provision of information under section 165 or to appoint a person to investigate any matter.

EG 3.7.2RP

[deleted]2

1
EG 3.7.3RP

1Section 169(4) and (5) set out factors that the FCA may take into account when deciding whether to use its investigative powers. 2

EG 3.7.4RP

1When it considers whether to use its investigative power, and whether section 169(4) applies, the FCA will first consider whether it is able to assist without using its formal powers, for example by obtaining the information voluntarily. Where that is not possible, the FCA may take into account all of the factors in section 169(4), but may give particular weight to the seriousness of the case and its importance to persons in the United Kingdom, and to the public interest.