What We Do

Our national Investigations and Prosecutions team, ranked in band 1 by Legal 500 2011,  provides specialist advice to companies and individuals who are either at risk of or are under investigation by the FCA's Enforcement or Supervision Divisions for alleged breaches of the FCA's rules and regulations. Our financial regulation lawyers, spread across 8 offices, advise on regulatory, civil and criminal investigations and litigation brought by the FCA.

We advise on:

  • Self reporting or notification to FCA of potential FCA rule breaches
  • FCA Handbook - Principle and Rule breaches
  • Financial promotions regime and mis-selling
  • Training and competence, systems and controls
  • Perimeter guidance and regulated activities
  • Unauthorised collective investment schemes
  • Illegal deposit taking
  • Behaviour that questions whether approved persons are 'fit and proper' (e.g. FCA refusal of approval or prohibition orders)
  • Senior management responsibility and significant influence functions ('SIFs')

Testimonials

Chambers & Partners 2014 describes Sarah Wallace as a "tenacious" and "diligent" lawyer, who is "committed to her cases" and provides "very good client care."

The team successfully defended a British Airways director in the OFT’s price-fixing investigation and subsequent criminal prosecution.

Financial And Other Regulations

  • Financial Services Regulation And Enforcement
    The Financial Services Regulation and Enforcement team has acted in a number of headline cases including the first acquittal for insider dealing, the first FCA prosecution for breach of the general prohibition and the largest ever insider dealing prosecution which is arising from the first joint UK/US investigation.

For general enquiries

0870 1500 100