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 solicitors, 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')
Kevin Robinson ‘combines client care of the highest order with thorough preparation, insight into the real issues in a case, and truly excellent judgment.' Legal 500, 2011
The team successfully defended a British Airways director in the OFT’s price-fixing investigation and subsequent criminal prosecution.