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This Practice Note outlines the law concerning criminal recklessness. The subjective test for recklessness Certain statutory and common law offences allow the prosecution to prove mens rea through ‘recklessness’. Put simply, recklessness is where the accused takes an unjustified risk that results in unlawful harm or damage. The House of Lords in R v G reaffirmed the subjective approach to recklessness. Before R v G, two distinct tests were used, depending on the offence charged: Subjective recklessness from R v Cunningham: the prosecution had to establish that the accused personally foresaw the risk. Objective recklessness from R v Caldwell: the prosecution only needed to show that the risk would have been obvious to a reasonable person, without proving the accused themselves foresaw it. In R v G, the House of Lords concluded that the objective test could operate unfairly where a defendant did not foresee the
This Practice Note examines the remedy of rescission, explaining when and in what manner a contract can be unwound (at common law, in equity and under statute) and thereby terminated and brought to an end. It covers the consequences and effects of rescission, the principal grounds for setting aside an agreement (misrepresentation, mistake, undue influence, duress, non‑disclosure, fiduciary misdealing and bribery) and the main obstacles to claiming rescission—affirmation, the intervention of third‑party rights and the impossibility of restitution. For further guidance on rescission in the context of misrepresentation, see Practice Note: Misrepresentation—rescission as a remedy. There are many ways in which a contract may reach its end; see: Terminating contracts—how and when a contract ends—overview for a brief and accessible summary, with links to the related further practical guidance, including Practice Note: Termination and expiry of contracts. For a table
What is a res judicata? A res judicata is a determination by a court or tribunal with jurisdiction over the cause of action and the parties, which finally disposes of the issues decided so they cannot be litigated again by those bound, save on appeal. Final judgments entered by default or by consent fall within this concept, whereas rulings on purely procedural points and any decision lacking finality do not. The doctrine’s aim is to bring litigation to an end and shield parties from being harassed by the same dispute twice. in personam—binds the parties and their privies in rem—binds all persons, privy or otherwise (ie a judgment binding the whole world) A party may rely on res judicata: as an estoppel to defeat an opponent’s claim or defence; and/or as the basis of their own claim or
The offence of causing grievous bodily harm with intent Wounding or causing grievous bodily harm (GBH) with intent can be tried solely in the Crown Court on indictment. Elements of the offence Under the Offences against the Person Act 1861 (OATPA 1861), the prosecution must establish that the defendant unlawfully and maliciously: wounded with the intention of causing GBH, or caused GBH with that intention, or wounded intending to resist or prevent the lawful arrest or detention of any person, or caused GBH intending to resist or prevent the lawful arrest or detention of any person ‘Unlawfully’ and ‘maliciously’ Unlawfully The wounding or causing of GBH must be unlawful. Such conduct may be lawful if used: in self-defence in defence of another in defence of property for the prevention of crime where the victim gave express or implied consent For further information on these defences, see below:
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The Bribery Act 2010 ( BA 2010) Enacted to secure the UK’s adherence to the Organisation for Economic Co-operation and Development’s ( OECD) Convention on Combating Bribery of Foreign Public Officials in International Business Transactions, the Bribery Act 2010 ( BA 2010) delivers an effective framework to address corruption across public and private spheres, updating the UK’s anti-corruption regime and supplanting Prevention of Corruption Act 1906 and Prevention of Corruption Act 1916. BA 2010 carries significant consequences for any company incorporated in, or trading from, the UK. Its global reach covers bribery undertaken by a business, or by third parties acting for it, regardless of where in the world the conduct occurs......
Today, corporate openness is regarded as a vital pillar of any approach to reduce or eradicate corruption, tax evasion, terrorist funding and money laundering. The government has observed that offshore corporate vehicles used to mask the real owners of UK property have drawn those wishing to conceal illicit funds and cleanse the proceeds of crime. From 2004 to 2014, more than £180m of UK property was examined as suspected proceeds of corruption. Enhancing transparency over property ownership will ease the work of enforcement agencies and discourage criminals and the corrupt from opting for the UK to hide or launder their money. Registration of an overseas company opening an ‘establishment’ in the UK Note that an overseas company must be registered at Companies House if it opens an ‘establishment’ in the UK. An establishment is a branch within the meaning of the Eleventh Company Law...
The Republic of Belarus ( Sanctions) ( EU Exit) Regulations 2019 ( SI 2019/600), under the Sanctions and Anti- Money Laundering Act 2018 ( SAMLA 2018), set up the UK sanctions regime for Belarus. This regime seeks to prompt Belarus to: uphold democratic standards and institutions, maintain the separation of powers, and observe the rule of law in Belarus avoid measures or conduct that suppress civil society in Belarus properly investigate and prosecute those responsible for the disappearances of Yury Zakharanka, Viktar Hanchar, Anatol Krasouski and Dzmitry Zavadski comply with international human rights law and respect human rights end activities that destabilise Ukraine or undermine its territorial integrity, sovereignty or independence, including support for or facilitation of Russia’s actions regarding Ukraine refrain from any other conduct that threatens peace, security or stability in...
Batteries—legal framework In the UK, batteries are regulated through: the Batteries and Accumulators ( Placing on the Market) Regulations 2008 ( BAPMR 2008), SI 2008/2164, which place limits on specific substances used in batteries and set out labelling obligations the Waste Batteries and Accumulators Regulations 2009 ( WBAR 2009), SI 2009/890, which create a system for separate collection, treatment and recycling of waste batteries and help the UK meet its waste battery collection targets Both instruments include provisions on enforcement, offences and penalties. These measures initially transposed Directive 2006/66/ EC, the EU Batteries Directive. That directive has since been superseded by Regulation ( EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/ EC and Regulation ( EU) 2019/1020 and repealing Directive 2006/66/ EC (the EU Batteries Regulation 2023). For further...
Organisations caught by the Money Laundering, Terrorist Financing and Transfer of Funds ( Information on the Payer) Regulations 2017 ( MLR 2017), SI 2017/692 must: apply enhanced customer due diligence ( CDD) measures and strengthened ongoing monitoring for any transaction or business relationship with a person established in a high-risk third country not place reliance on a third party established in a high-risk third country The obligation to undertake enhanced due diligence in relation to high-risk third countries applies where there is a relevant transaction and an establishment in a high-risk third country. A relevant transaction is one for which you are required to apply CDD under MLR 2017, reg 27, and being established in a country means: for a legal person, being incorporated in, or having its principal place of business in, that country, or—where a financial...
Practice Note This Practice Note outlines the key considerations when dealing with cases that involve trafficked victims from both a prosecutorial and defence perspective. It identifies the statutory defences available under the Modern Slavery Act 2015 ( MSA 2015) for trafficked persons charged with criminal conduct. It reviews the Crown Prosecution Service ( CPS) guidance for prosecutors on handling suspects who may have been trafficked, encompassing the common law defence of duress and the protection afforded by MSA 2015, s 45. The Note addresses charging decisions made under that guidance, together with the National Referral Mechanism ( NRM) process for assessing and reassessing an individual’s trafficking status, and considers the position where someone becomes a victim after prosecution proceedings have begun or asserts victim status following conviction. It also examines applications to stay proceedings as an abuse of process on the basis that the...
Much of consumer protection law is policed by local authorities’ Trading Standards teams. Every authority keeps an investigations and enforcement policy aligned with the Regulators’ Code. These Trading Standards policies, published on each authority’s website, set out their enforcement approach and the principles that inform any action they take. In addition, the policy for each authority explains its enforcement approach and the core principles that underpin any enforcement action that authority may take. Once an investigation or prosecution begins, defence representatives should review the relevant authority’s enforcement policy to check, and keep under review, that it is being applied as written. For more on the Regulators’ Code, refer to Practice Note: The Regulators’ Code. Under section 222 of the Local Government Act 1972 ( LGA 1972), if an authority judges it expedient to protect or promote the interests of people in its area, it may...
The Pensions Regulator’s scheme management enforcement strategy explains its approach to compliance and enforcement across defined benefits funding, defined contribution and public service pension schemes, while also describing the outcomes TPR may pursue and the means by which it could achieve them, all to strengthen safety and security for pension savers. Its prosecution policy and broader enforcement strategy set out the principal aims of its enforcement activity and give insight into the framework TPR applies when deciding which cases to take forward for enforcement action. Initial considerations in TPR investigations In its capacity as the UK regulator for work-based pension schemes, TPR has a suite of information-gathering powers to identify and track risks and to obtain evidence to support criminal prosecutions. These include: requiring reports of breaches of the law and notifiable events requiring reports prepared by skilled persons on specified issues ...
This Practice Note outlines the remit of the Pensions Regulator ( TPR). For details on TPR’s role specifically regarding public sector pension schemes, see the Practice Note in respect of public sector schemes. Background to the role TPR, an executive non-departmental public body of the Department for Work and Pensions, is the UK regulator for work-based pension schemes. The office was established on 6 April 2005 by the Pensions Act 2004 ( Pe A 2004), s 1, replacing the Occupational Pensions Regulatory Authority ( OPRA), the former pensions regulator. TPR’s remit and powers are, however, considerably wider than those of its predecessor. Under Pe A 2004, s 5(3), a ‘work-based pension scheme’ means: an occupational pension scheme a personal pension scheme where there are ‘direct payment arrangements’ for one or more members of the scheme who are employees, or a...
This guide is chiefly intended for trainees, recently qualified lawyers and others who are new to, or unfamiliar with, pensions law. Aside from HMRC (and, arguably, the Pension Protection Fund ( PPF)), the Pensions Regulator is probably the key statutory authority in the pensions industry. Constituted as a body corporate under section 1 of the Pensions Act 2004 ( Pe A 2004), the Pensions Regulator took over from the former regulator, the Occupational Pensions Regulatory Authority ( OPRA), on 6 April 2005. Role of the Pensions Regulator The Pensions Regulator’s remit is broader than OPRA’s and, importantly, it is not limited solely to occupational pension schemes. Its principal objectives include: to safeguard benefits under occupational pension schemes for, or in respect of, members of those schemes to secure benefits under personal pension schemes for, or in respect of, members of such schemes who are employees with direct...
FORTHCOMING CHANGE : The Pensions Regulator ( TPR) has opened a consultation on its new enforcement strategy, signalling a move to more proactive and prudential supervision. The draft strategy unveils a framework oriented around four core outcomes: prevention, reparation, accountability and saver confidence, buttressed by five strategic aims: prioritising key risks to savers, taking firm and timely action on non-compliance and economic crime, harnessing data for smarter enforcement, working with the wider sector for greater effect, and improving transparency to strengthen trust and behaviour. The proposals are intended to bolster TPR’s capacity to tackle emerging risks and breaches across pensions through a nimbler, more collaborative model. Consultation closes on 11 November 2025. TPR plans to issue the final strategy and its consultation reply in early 2026. Later in 2026, TPR also expects to review its complete set of published policies once the strategy is in place to...
This Practice Note has been archived and is no longer updated. For details on the Financial Conduct Authority’s powers to prosecute criminal offences, see Practice Note: FCA prosecution of criminal offences—essentials. The Financial Services Act 2012 ( FSA 2012) reshaped the UK regulatory framework by, inter alia, creating the Prudential Regulation Authority ( PRA) and the Financial Conduct Authority ( FCA), which succeeded the Financial Services Authority ( FSA). These bodies have distinct yet complementary roles. This Practice Note introduces the FCA’s role in relation to financial crime. Further guidance is available in the following subtopics: FCA investigations and enforcement—overview FCA investigations and enforcement—overview UK regulators—financial services—overview FCA and PRA investigations, enforcement and discipline—overview What is the FCA's objective in so far as tackling financial crime is concerned? Unlike its predecessor, the FSA, which had multiple regulatory objectives (including...
The creation of the Competition and Market Authority ( CMA) in 2013 The establishment of the Competition and Market Authority ( CMA) in 2013 coincided with an overhaul of a component of the criminal cartel offence that prosecutors had to prove to convict directors and officers. When the Enterprise and Regulatory Reform Act 2013 ( ERRA 2013) commenced on 1 April 2014, the dishonesty element of the cartel offence was scrapped, marking a radical change to what prosecutors had previously been required to establish. Under the revised regime, an individual commits the offence by agreeing, with one or more persons, that two or more undertakings will take part in specified prohibited cartel arrangements (price-fixing, market-sharing, bid-rigging, or limiting output), regardless of dishonesty. Any such arrangements must have occurred in the UK to be caught. As explained further below, this shift is partly offset by new...
When sentencing an offender for most offences, the court is required to order payment of a surcharge under section 42 of the Sentencing Act 2020 ( SA 2020), also called the Sentencing Code. It is often described as a ‘victim surcharge’, but that label is misleading because no individual victim receives the money directly. Accordingly, ‘surcharge’ is the preferred term. The payable amounts are set out in the Criminal Justice Act 2003 ( Surcharge) Order 2012, SI 2012/1696, arts 3–6. What is a surcharge in criminal proceedings? A surcharge is a financial order imposed on an offender by the court, typically following conviction for most categories of offences in England and Wales. Its purpose is to make offenders contribute towards the overall cost of supporting victims of crime. The funds do not go straight to victims. Instead, they are paid into a central...
There are numerous forms in which modern slavery and human trafficking risks can appear within supply chains. The Home Office’s statutory guidance on transparency in supply chains ( TISC), published under section 54 of the Modern Slavery Act 2015 ( MSA 2015), recognises that modern slavery and human trafficking occur across almost every sector. Many companies, and the chains that support them, will be widely exposed. Put bluntly, the message from the Home Office guidance is that if you are not identifying any risks, you are probably not scrutinising closely enough. To evaluate the likelihood of slavery within your supply chains, begin by mapping the aspects of your business that are especially vulnerable to slavery and human trafficking. These commonly involve reliance on third-party suppliers and recruitment practices, though other elements may arise depending on your operations. The primary focus should be the risk faced by...
Practice Note Under the Proceeds of Crime Act 2002 ( POCA 2002) and the Terrorism Act 2000 ( TA 2000), you must report knowledge or suspicions of money laundering and terrorist financing to the National Crime Agency ( NCA) by submitting a Suspicious Activity Report ( SAR). Failure to report attracts significant criminal penalties. A SAR can be: an internal SAR to the organisation’s nominated officer, or an external SAR to the NCA This Practice Note sets out practical guidance for the nominated officer on making an external SAR to the NCA and on obtaining a defence or consent to carry out a prohibited act (that is, to proceed with a matter you know or suspect involves money laundering or terrorist financing). See also Practice Note: Reporting suspicions of money laundering and terrorist financing for more detailed information on the law governing the SARs...
Disclosure notice under SOCPA 2005 Section 62(3)(a) of the Serious Organised Crime and Police Act 2005 ( SOCPA 2005) A disclosure notice under SOCPA 2005, Section 62(3)(a), permits the Director of Public Prosecutions ( DPP), or an appropriate person, to serve such a notice on an individual, compelling answers to questions about any matter pertinent to their investigation, and obliging their full co-operation throughout. This process is commonly referred to as a compulsory interview under SOCPA 2005. For these purposes, an ‘appropriate person’ includes a constable, an officer of the National Crime Agency ( NCA), or an officer of HM Revenue & Customs ( HMRC)......
What are the powers under section 3 CJA 1987? Section 3 of the Criminal Justice Act 1987 ( CJA 1987) establishes information‑sharing gateways for the Serious Fraud Office ( SFO). Through these routes, the SFO may disclose material it has obtained under its statutory powers during an investigation to other government bodies where specified conditions apply. This extends to information acquired using its compulsory investigation powers under CJA 1987, s 2. For more information, see Practice Notes: Section 2 notices requiring production of documents and Interviews under the Criminal Justice Act 1987, s 2. There is no express bar in the CJA 1987, or otherwise, on sharing material gathered through the SFO’s investigation powers; however, any disclosure must meet the criteria prescribed by CJA 1987, s 3......
This Practice Note explains what the SFO is, why it may conduct a raid, the scope of its powers, and the implications of not co-operating with one. What is the SFO? The Serious Fraud Office ( SFO) investigates serious or complex fraud and corruption, often featuring an international aspect or likely to draw publicity. The SFO states it undertakes a small number of large economic crime cases. When deciding whether to open an investigation, the Director applies the Statement of Principle, taking into account: whether the apparent criminality undermines UK PLC commercial or financial interests in general and in the City of London in particular whether the actual or potential financial loss involved is high whether actual or potential economic harm is significant whether there is a significant public interest element whether there is a new species of...
SFO’s key policies on prosecuting bribery offences The Serious Fraud Office ( SFO) is the principal authority investigating and prosecuting corporate bribery in the UK. In conjunction with the Crown Prosecution Service ( CPS), it may enter into deferred prosecution agreements ( DPAs) with organisations, allowing them to sidestep some of the impacts of a prosecution. For further detail, see Practice Note: Deferred Prosecution Agreements ( DPAs). The SFO releases a range of policies and internal guidance that direct investigators and prosecutors handling bribery matters. Organisations, and those who advise them, should understand these materials as they illuminate the SFO’s stance on specific issues. The key SFO policies and guidance are: the Ministry of Justice’s ( Mo J’s) guidance on the Bribery Act 2010 ( BA 2010) the SFO’s Cooperation Guidance the SFO’s guidance on Evaluating a Corporate...
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When evaluating a general damages claim, the practitioner ought initially to refer to the Judicial College Guidelines (JCG)...
This Practice Note This Practice Note reviews mechanisms used in settling litigation. A Tomlin order consists of a consent order paired with a schedule. It operates to stay proceedings on terms that have been agreed. The provisions contained in the schedule may remain confidential. This Practice Note describes the scope of confidentiality attaching to the schedule and sets out how it differs from a standard consent order. Sample wording for a Tomlin order is included, alongside links to precedents, as well as guidance on court approval. It also addresses varying, setting aside and enforcing a Tomlin order, including the considerations the court will take into account when handling applications for each. Further guidance is provided on interpreting and applying the relevant provisions of the CPR; however, some courts and divisions impose very specific requirements for both drafting and approval, and for approaching the schedule and confidentiality issues. Accordingly, you must consider the particular rules and court guide provisions in the forum where your claim is proceeding when drawing up the Tomlin order...
Date [ date ] Parties [ name of Landlord ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Landlord) [ name of Tenant ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Tenant) [ [ name of Guarantor ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Guarantor) ] [ [ name of Mortgagee ] [ of OR incorporated in England and Wales (company registration number [ number ]) with its registered office at ] [ address ] (Mortgagee) ] Definitions Within this Deed, the terms below shall be interpreted as follows: [ Annual Rent • the annual sum reserved under the Lease; ] [ Insurance Rent • the Tenant’s share of the Landlord’s costs of insuring the Property (as set out in the Lease); ] Lease • the lease of the Property dated [ date ], entered into between (1) [ the Landlord OR [ name ...
I, [ name ], of [ address ], solemnly and sincerely state that: [ Matters to be verified, set out in numbered paragraphs ] I make this solemn statement in good conscience, believing it to be true, and pursuant to the provisions of the Statutory Declarations Act 1835. DECLARED at [ details ] this [ day ] day of [ month and year ] Before me ................................................................................ [ signature of the person before whom the declaration is made ] A [ commissioner for oaths OR [ solicitor OR [ insert other qualification ] ] authorised to administer oaths ]...
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