What We Do
Our team of Financial Conduct Authority (FCA) lawyers work with many high level individuals every year who are being investigated by the FCA. We also work with senior management members to help them avoid future FCA enforcement investigations.
If you're expecting an FCA investigation, it's important to seek expert legal advice immediately from our FCA investigation solicitors to help guide you through what can be a legal minefield.
An enforced investigation could be costly to you and your firm, with financial penalties, public censure and many other sanctions possibly being issued by the FCA.
What Powers Does The FCA Have During An Investigation?
During an investigation, the FCA has the authority to:
- Suspend you and/or the firm from undertaking regulated activities
- Fine the firm, or those who breach FCA rules or commit market abuse
- Apply to the Court for injunctions, winding up orders and restitution orders
- Bring criminal prosecutions against you to tackle financial crime, such as insider dealing, market manipulation, fraud or unauthorised business (breaching the general prohibition)
- Impose fines and public censure
- Seek compensation for your consumers
- Request information from the firm (both online and hard copy) and ask you questions under interview
Our Experience In FCA Investigations
We provide tactical and realistic advice to anyone fearing or facing a financial investigation.
As one of the leading financial services regulation teams in the UK, we deal with criminal, civil and regulatory investigations brought by the Financial Conduct Authority (FCA).
We have many years of experience in judicial review proceedings against the FCA, and have represented many clients facing winding up and injunction proceedings in the High Court, as well as prosecution.
The team often works with specialist barristers, compliance consultants and forensic accountants to achieve the best outcome for you and your business.