FCA Investigations & Enforcement
Specialist Financial Conduct Authority (FCA) lawyers with experience in high profile investigations, insider dealing, prosecutions & market abuse cases.
Financial Services Regulation
Financial services regulation is complex, fast-moving, and increasingly scrutinised. Firms, advisers and senior managers must comply with demanding financial services regulation (FCA) requirements while managing commercial pressures and reputational risk.
Whether you’re seeking authorisation, responding to regulatory scrutiny, or strengthening your compliance framework, our specialists provide clear, pragmatic advice to help you stay compliant and confident.
Services within Financial Services Regulation
We advise across the full lifecycle of financial services regulation—from set-up to enforcement.Legal advice on financial services regulation and FCA investigations
Whether you're dealing with enforcement, supervisory checks, or defending against allegations of misconduct, we guide you through the process at every stage. From responding to information requests and interviews under caution through to enforcement proceedings and negotiations, we ensure you understand the risks, obligations, and strategic options available.
We can support with:
- Responding to FCA or PRA inquiries and enforcement
- Advising on obligations and conduct of business standards
- Preparing for interviews under caution and information requests
- Defending firms and individuals against allegations of misconduct
- Handling supervisory checks and reporting duties
- Managing the reputational impact of regulatory scrutiny.
With multidisciplinary advice from long-term legal partners, you can respond with confidence to regulatory scrutiny and maintain the trust of both clients and government bodies.
Why choose Irwin Mitchell?
We act for firms, advisers and senior managers across the financial services sector, combining regulatory expertise with a deep understanding of commercial realities.
You’ll benefit from:
- Specialist regulatory expertise across FCA matters
- Joined-up advice across employment, disputes, corporate and pensions
- Practical, commercially focused solutions
- Strong experience handling regulator engagement and enforcement.
Our approach
We focus on delivering outcomes, not just advice:
- Prevent – building robust compliance frameworks
- Prepare – ensuring you’re ready for FCA scrutiny
- Respond – guiding you through investigations and challenges
- Resolve – protecting your business and reputation.
Frequently Asked Questions
Supervisory action can be complex, with serious financial and reputational consequences. Here are answers to some of the most common questions:The FCA can require information and documents, carry out interviews under caution, and inspect records. They can also bring criminal prosecution proceedings in financial crime cases.
The right expert, right by your side
Search our team of leading solicitors and specialists across the UK. Whatever your situation, you'll find someone with the expertise to help you.Speak to a member of our team
Our team support you to navigate complexity, seize opportunity and move forward with legal clarity.
Speak to a specialist
We are here to help you understand your legal requirements and the support you need. Complete our enquiry form and one of our experts will contact you by the next working day.
Alternatively, you can call us now.
Our opening hours are Monday to Friday 8am to 6pm (Excluding Public Holidays).
Call us free on 03300291644
Making an enquiry
We have several ways you can contact us, either by completing our online contact form, by phone, or using our live chat. If you start your journey online, here are the first steps to working together.
Complete our online formWe need a few details to understand your situation and the kind of support you need.
We’ll contact you by phoneOn the call our experts will ask you a few more questions to make sure we connect you with the right legal advice from our team.
We arrange a full appointmentIf we’re able to support you further, the next step is an appointment with one of our specialists so we can discuss everything in more detail.
