Financial Conduct Authority (FCA) Investigation Solicitors

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.

Recent Work

Insider Dealing & Conspiracy to Defraud

Acting for numerous individuals investigated and prosecuted by the FCA for criminal offences of insider dealing and conspiracy to defraud.

LIBOR Investigations

Acting for a number of individuals in London Interbank Offered Rate (LIBOR) and benchmark internal and FCA investigations – representing individual traders in internal interviews by their bank employers and in interviews by the FCA.

SYSC & IFA Breaches

Acting for a chief executive and a compliance officer under investigation for breaches of Senior Management Arrangement Systems and Controls (SYSC) and breaches within the Institute of Financial Accountants (IFA).

Testimonials & Client Feedback

We truly value the feedback we receive from both our clients and legal accreditation societies, such as The Legal 500 and Chambers & Partners.

Chambers & Partners UK Top Ranked Firm 2022

"Expertise advising clients on compliance with Europe-wide regulatory changes such as GDPR."

Chambers & Partners, 2022
Legal 500 UK Leading Firm 2022

"Depth of experience. IM have worked on many of the major fraud, financial services, cartel and money laundering cases and done so to an exceptionally high standard."

Legal 500, 2022
Legal 500 UK Leading Firm 2022

"A dynamic team with a broad skillset, particularly when assisting those that are the subject of regulatory investigation."

Legal 500, 2022

We Work Nationally

We have offices in major cities throughout the UK and our lawyers can arrange to visit you or your business in person if necessary. We also have international capability, with global links to other legal specialists.

See our latest coronavirus updates before visiting our offices

Awards & Accreditation

We’re proud of the recognition we’ve received for our business legal work. For a list of awards and accreditations, please visit our awards page.

Chambers & Partners 2020 logo

Business News

Our lawyers are regularly asked to provide expert insight, advice and analysis for the national media. Take a look at the stories below to see what we’re saying, as well as some of the recent deals we have completed for our clients here in the UK and abroad.