Finance barrister, advocate, solicitor, lawyer Civil and corporate Security
Register

CRB Disclosure for the finance profession

Authority to ask an Exempted Question

The Financial Services & Markets Act 2000

Consultative Paper Issued by Basel Committee on Banking Supervision Covering Internal Audit in Banking Organisations

Part V of the Police Act 1997

The Conduct of Employment Agencies and Business Regulations 2002

Consequences of failure to comply with the Regualtions

Editorial: Who's looking after your company?

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finance profession crb disclosure

The following professions fall under The Exceptions Order in The Rehabilitation of Offenders Act 1974 (Exceptions order) 1975. Schedule 1, Articles 2(3), 3 and 4.
Excepted professions, offices, employments, work and occupations:

• Fnancial Advisor
• Chartered Accountant
• Certified Accountant
• Actuary
• Mortgage Advisor
• Director, controller or manager of an insurance company
• Employment providing investment, insurance or other financial service
• Director or officer of a Building Society
• All positions for which the Financial Services Authority or the competent authority for listing are entitled to ask exempted questions to fulfil their obligations under the Financial Services and Markets Act 2000.

Useful Links

The Criminal Records Bureau
The Employment Agencies Act 1973 
The Employment Relations Act 1999 This Act amends certain sections of the Employment Agencies Act 1973
Financial Services Authority - Code of Practice (PDF)
See Section 4.1 Statement of Principle