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What We Do

Financial regulators, both at home and abroad, are increasingly investigating the conduct of financial services firms here in the UK to ensure that consumers and customers are treated fairly.

We regularly provide expert advice to financial services firms and senior management members on the complexities of financial regulations. If you need assistance with financial regulation, we can help advise you on:

An enforced investigation can be costly and potentially devastating, with the possibility of significant financial penalties and sanctions.

We can provide expert advice to ensure that your company contracts, warning notices and other documents are all up to date. Errors in these documents could lead to regulatory action, significant costs and bad publicity.

Why Choose Irwin Mitchell?

Our financial regulations team can help you when applying for financial authorisation and approval, as well as dealing with supervision conduct enquiries and visits. We can also provide specialist representation if you are subject to an enforcement investigation.

We provide general advice on commercial contracts across a range of financial services areas, including private client stockbroking, fund and asset management and payment services.

Head of our team, Sarah Wallace, has been seconded to the FCA’s General Counsel Division and the Enforcement & Financial Crime Division meaning that she has first-hand knowledge of how the regulator works and the tactics that are used.

Recent Work

Our expert team of financial services solicitors have recently acted for the following:

  • Firms facing enquiry from the FCA regarding unauthorised business allegations, promotion of Unauthorised Collective Investment Schemes (UCIS), boiler rooms, illegal deposit taking, pension liberation, land banking or alleged investment scams.
  • An asset management company under investigation for Client Asset Sourcebook (CASS) breaches.


The practice is "becoming increasingly sought after" - Legal 500, 2016.

"An excellent firm. They are very responsive to clients’ needs, very proactive and they add value significantly to the preparation and conduct of the case.” - Chambers & Partners, 2016.

Sarah Wallace "fights tooth and nail for her clients, while remaining pragmatic." - Legal 500, 2015.

"Irwin Mitchell is 'an excellent alternative to the City firms' for FCA investigations and enforcement actions." - Legal 500, 2014.

"Sarah Wallace is tenacious in pursuing the interests of her clients whilst giving realistic advice." - Legal 500, 2014.

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

Financial Services Regulation

  • FCA Investigations & Enforcement
    Our team of work with many high level individuals every year who are being investigated by the Financial Conduct Authority (FCA). We also work with senior management members to help them avoid future investigations.
  • Financial Advice & Regulatory Compliance
    Financial services regulation is ever-changing and complex, with firms having to allocate increased resources and costs to meet their compliance obligations. It is therefore important to have company procedures that are fully compliant.

For more information on Financial Services Regulation

If you are interested in understanding how Irwin Mitchell can help you with your Financial Services Regulation work then please contact Sarah Wallace (Partner) on +44 (0)207 421 3876, or send us an email.