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Ben Jones
Ben Jones, UK Lawyer
Category: Law
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Would a Caution for Assault affect my current position

Customer Question

Would a Caution for Assault affect my current position regulated by the FCA?
Assistant: Thank you. Can you provide any more details to help us find you the right Expert?
Customer: I've been given a caution by the police for Assault by beating, would this caution affect my ability to find a job regulated by the FCA? This may be a good question for someone with experience on both law and Financial services.
Submitted: 1 year ago.
Category: Law
Expert:  Ben Jones replied 1 year ago.

Hello, my name is***** am a qualified lawyer and I will be assisting you with your question today.

Expert:  Ben Jones replied 1 year ago.

How long ago were you cautioned?

Customer: replied 1 year ago.
Hello, I have not been cautioned yet but the police wants me to accept it according to my lawyer, otherwise they will prosecute
Customer: replied 1 year ago.
In other words, I have not accepted yet. Would this be seen by the FCA as a barrier to keep my current job which is FCA regulated?
Expert:  Ben Jones replied 1 year ago.

OK thank you, ***** ***** it with me. I am in court for the rest of today so will prepare my

advice in a while and get back to you at the earliest opportunity. There is no need to wait here as you will receive an email when I have responded. Thank you.

Expert:  Ben Jones replied 1 year ago.

Many thanks for your patience. A caution by itself will not automatically put your job in jeopardy. It is not a criminal conviction, it is one of the least serious ways to dispose of criminal issues. How it may impact your job depends on the nature of your job and the offence for which you were cautioned, together with the circumstances leading up to it.

What the FCA registered employer would be looking for is whether this is a serious offence which affects your ability to do your job and makes you unsuitable to hold such a position. Assault in general is not considered that serious, unless it was a listed offence such as assault against minors, sexual assaults, assault when resisting arrest etc. Yours would be on the lower scale of seriousness.

The issue if you do not accept the caution is that you will face prosecution and the outcome could be a lot worse where you get a formal conviction and a criminal record, rather than just a caution. So you will be taking a big risk if you proceed to prosecution instead of just walking away with a caution.

This is your basic legal position. I have more detailed advice for you in terms of the other rights you have based on your length of service, which I wish to discuss so please take a second to leave a positive rating for the service so far (by selecting 3, 4 or 5 stars) and I can continue with that and answer any further questions you may have. Don’t worry, there is no extra cost and leaving a rating will not close the question and we can continue this discussion. Thank you

Expert:  Ben Jones replied 1 year ago.

Hello, I see you have read my response to your query. Please let me know if this has answered your original question and if you need me to discuss the next steps in more detail? In the meantime please take a second to leave a positive rating by selecting 3, 4 or 5 starts from the top of the page. The question will not close and I can continue with my advice as discussed. Thank you

Customer: replied 1 year ago.
The thing is that my other half actually did ask the police to don't give me any charge. I was taken away from the flat, as I presented a counter allegation, went to the police station for interrogation, recorded and I admitted hitting her, feel that one of the officers was way more on my wife's side, after the interrogation and admitting the offence, I was placed in jailed.and I was convicted without the proper process being followed, and all of this due to a sargeant who kept advising the officer. I was asked if I wanted a free lawyer, and thanks god I asked for it as in the next morning he told me that the right process was not followed and that I shouldnt have passed the night in jail.So the question here is, because I feel that the police mistreated me, and find unfair the way that investigation and conviction was done, do you think that I would be able to challenge anything back? I know a caution is something minor, but I understand, for example, that has banned me to work with children and vulnerable adults?
Customer: replied 1 year ago.
My wife does not want to present any charges and she has told me a 100 times that feels so bad about way things happened
Expert:  Ben Jones replied 1 year ago.

the issues are unfortunately crossing over from employment law to criminal law, which I cannot help with as you need a criminal lawyer for that. So I would be happy to continue assisting with the employment side but if you need advice on criminal matters then you will need to post as a new question. Do you have any further questions in respect of the employment side?

As mentioned this was only your basic legal position and I have more detailed advice for you in terms of the other rights you have based on your length of service, which I wish to discuss so please take a second to leave a positive rating for the service so far (by selecting 3, 4 or 5 stars) and I can continue with that and answer any further questions you may have. Don’t worry, there is no extra cost and leaving a rating will not close the question and we can continue this discussion. Thank you

Expert:  Ben Jones replied 1 year ago.

Hello, I see you have read my response to your query. If this has answered your question from an employment perspective please take a second to leave a positive rating by selecting 3, 4 or 5 stars from the top of the page. I spend a lot of time and effort answering individual queries and I am not credited for my time until you leave your rating. If you still need further help please get back to me on here and I will assist as best as I can. Many thanks.

Ben Jones and 4 other Law Specialists are ready to help you
Customer: replied 1 year ago.
Thank you Ben por your help and helping me through to this. Can my employer conduct a formal investigation on this?
Expert:  Ben Jones replied 1 year ago.

Yes they can if they really wanted to. After all formal action can be taken on grounds of capability, if you are deemed incapable of doing your job, be it due to performance or other factors such as a criminal record so they can investigate this if they thought it was necessary

Customer: replied 11 months ago.
Ben you mentioned something about my basic legal position and that you could provide advice in terms of the other rights based on length of service.I have been working for them for the past year and 5 months. Could you please shed some light? Thanks
Expert:  Ben Jones replied 11 months ago.

Hi there, my apologies for this oversight and not discussing this earlier – also thanks for the reminder. Basically, if an employee has been continuously employed with their employer for at least 2 years they will be protected against unfair dismissal. This means that to fairly dismiss them their employer has to show that there was a potentially fair reason for dismissal and that a fair dismissal procedure was followed.

According to the Employment Rights Act 1996 there are five separate reasons that an employer could use to show that a dismissal was fair: conduct, capability, redundancy, illegality or some other substantial reason (SOSR). The employer will not only need to show that the dismissal was for one of those reasons, but also justify that it was appropriate and reasonable to use in the circumstances. In addition, they need to ensure that a fair dismissal procedure was followed and this would depend on which of the above reasons they used to dismiss.

In terms of criminal convictions or cautions, a dismissal should only be considered if the nature of the offence is serious enough to mean that the employee cannot be employed in that job any more. For example a teacher convicted of sexual offences against children, a banker convicted of fraud and so on. A caution is not even a formal conviction so really it should not result in dismissal of someone with 5 years service.