Dealing with dawn raids by the Information Commissioner's Office—key information

Produced in partnership with Michael Potts of PCB Byrne and Ilana Baines of PCB Byrne

Practice notes

Dealing with dawn raids by the Information Commissioner's Office—key information

Produced in partnership with Michael Potts of PCB Byrne and Ilana Baines of PCB Byrne

Practice notes

This Practice Note provides practical tips on dealing with a dawn raid by the Information Commissioner’s Office (ICO). It sets out what the ICO is, the main reasons for an ICO raid, its powers, and the consequences of failing to co-operate with a raid by the ICO.

This document reflects the UK General Data Protection Regulation (GDPR) regime.

What is the ICO?

The ICO is an independent authority set up by the UK government to uphold information rights in the public interest, promote openness by public bodies and protect data privacy for individuals. The ICO is an executive non-departmental public body, sponsored by the Department for Digital, Culture, Media & Sport.

The ICO oversees and may enforce the following legislation and regulations:

•
Data Protection Act 2018 (DPA 2018)
•
GDPR
•
Freedom of Information Act 2000
•
Environmental Information Regulations 2004
•
Privacy of Electronic Communications Regulation 2003
•
Investigatory Powers Act 2016
•
Environmental Protection Public Sector Information Regulations 2009
•
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Michael Potts

Solicitor, PCB Byrne

Michael is a specialist in the defence of corporate and financial crime and regulatory investigations and prosecutions. He has represented senior executives and other professionals in many high-profile domestic and international investigations and prosecutions conducted by the SFO, FCA, NCA and other prosecution/regulatory agencies.

Michael regularly advises and represents senior financial services personnel facing FCA/PRA and other regulator investigations and disciplinary action. He also advises and represents high-net-worth individuals facing revenue investigations and potential prosecutions.

Michael has also been extensively involved in advising clients facing financial and trade sanctions both domestically and globally with experience of sanctions regimes in a range of countries. His most recent experience includes representing high-net-worth individuals that are the subject of sanctions imposed by OFAC, OFSI and the Minister for External Relations and Financial Services (Jersey), including challenging the ‘designated’ status of a number of high-profile Russian Oligarchs, and advising various Russian companies in a range of industry sectors on potential exposures arising from the evolving EU, US and UK sanctions regime.

Ilana Baines

Solicitor, PCB Byrne

Ilana is an accomplished criminal litigation lawyer who has extensive experience defending in complex cases including bribery, corruption, money laundering, tax evasion, Account Freezing Orders, insider dealing, fraud by abuse of position, fraudulent selling and land banking.

Ilana’s experience covers investigations and prosecutions brought by the Serious Fraud Office (SFO), Financial Conduct Authority (FCA), Crown Prosecution Service (CPS), HM Revenue and Customs (HMRC), The Royal Mail and National Trading Standards. She regularly advises professional clients on regulatory proceedings, including Solicitors Regulation Authority (SRA) investigations and interventions. Ilana also specialises in Restraint and Confiscation proceedings.

Notable Cases:

Operation Puffin: £8.7 million involving the supply of potatoes to Sainsbury’s.
Operation Elveden: Represented a Sun journalist on charges of conspiracy to commit Misconduct in Public Office.
Operation Cotton: FCA’s first prosecution of Land Banking, amounting to £4.3 million.
SFO investigation into accounting practices at Tesco.
SFO prosecution in respect of LIBOR fixing.
Operation Saturn: the longest and most complex FCA prosecution of insider dealing at that time.
Secured the return of several million pounds after an Account Freezing Order was imposed.

Jurisdiction(s):

United Kingdom

Key definition:

Dawn raid definition

What does Dawn raid mean?

A surprise technique employed by a potential offeror, particularly in a hostile context, to acquire a significant stake in an offeree as soon as the market opens for the day, enabling the raider to build a substantial position before the offeree is aware of the takeover attempt.

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