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Ben Jones
Ben Jones, UK Lawyer
Category: UK Employment Law
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Hello -- Background: FSA-approved person working at an

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Hello --

Background: FSA-approved person working at an investment bank. Receives 'simple caution' a year ago that is spent immediately. Was advised doesn't have to disclose to employer. Now employer/bank in annual check of FSA-approved persons asks the question "have you ever received a caution in relation to a criminal offense."

What is the answer here given its 'spent'. I know FSA is exempt from ROA but does this apply to cautions received mid-employment? If answer is 'yes' -- what are actions that will be taken by the firm?

Ben Jones :

Hello, my name is XXXXX XXXXX it is my pleasure to assist you with your question today.

The employee would be required to disclose this conviction to the employer. The question is very specific and asks if the employee has 'ever' received a caution, not if they have a spent conviction, spent caution, etc. Also the ROA does not apply to cautions, they are not dealt with in there, it only applies to formal criminal convictions.


As to what actions the employer can take, it really depends on the nature of the offence, how it affects their employment, etc. Dismissals should not automatically follow, especially for something as a caution, it really has to be something more serious for any formal action to be taken.


It was in relation to drunkeness and wouldn't think it would affect role or even FSA-approved person status given the nature -- correct me if I'm wrong?

Would the employee have been required to disclose it prior to the question being asked?

Ben Jones :

I agree, they would be more interested in fraud, theft, etc. It would only need to have been disclosed if there was a contractual or other policy requirement with the specific job to disclose such matters

Ben Jones :

Please let me know if this has answered your query or if you need me to clarify anything else for you in relation to this?


and what about in relation to disclosure to the FSA itself?

Ben Jones :

hi sorry the resource I need to check for this is down so will have to try again in the morning and will get back to you

Ben Jones :

Hello, thanks for your patience. There is no duty on you to personally disclose this to the FSA. It is a matter for the employer to have adequate notification rules in their contract and for them to then advise the FSA if they know of any information relevant to you that needs to be declared to the FSA

Ben Jones :

I hope this has answered your query. Please take a second to leave a positive rating, or if you are unhappy for some reason with the advice - please get back to me and I will assist further as best as I can. Thank you very much

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