Jason Newall
Partner
Financial Conduct Authority (FCA) Investigation Solicitors
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.
If you’re being investigated by the financial conduct authority, our specialist lawyers can help. Give our friendly team a call or get in touch online.
Speak to a Legal Partner
Our team support you to navigate complexity, seize opportunity and move forward with legal clarity.
Contact our Specialists
Get strategic advice from a team that knows how to protect and grow your business. Please 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).
0370 1500 100
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 appointmentYour next step is an in-depth appointment with a specialist solicitor to discuss how we could advise you.
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).
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