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Financial Conduct Authority (FCA) Disciplinary and Investigations

Anyone under investigation by the FCA or required to attend an interview or disciplinary panel will benefit greatly from the guidance of a lawyer with specialist expertise in this area. As a financial professional, your reputation is of paramount importance and if it comes under attack then you need to seek immediate specialist legal advice.  We provide practical and commercial advice to our clients in relation to their dealings with the FCA and other regulators on contentious issues.  These are serious matters which often raise reputational risks for companies and individuals, as well as potential exposure to civil and criminal sanctions.

Our clients are diverse and include FCA Authorised firms, Approved Persons as well as Companies, Hedge Funds and Company Directors.

Our team has experience dealing with a wide variety of regulatory disputes, such as internal investigation, enforcement actions initiated by the regulators, dawn raids, insider dealing, boiler room fraud, market abuse and manipulation, mis-selling, market misconduct, misleading statements, breaches of the FCA’s principles, marketing and promotion of unauthorised investment schemes.


We can provide you with initial advice on the commencement of a FCA investigation and formulate a defence strategy for any interviews under caution with the FCA or Police that you may be required to attend.
We operate a 24/7 emergency number, if the FCA or Police attend at your business or home premises unannounced please contact us immediately on 0207 9336 6329, we can attend to ensure that during this stage of the investigation your rights are protected and the police act within their powers.

If the FCA contact you to let you know that they wish to interview you or you receive a formal request for documentation to be delivered to the FCA, we can liaise with the FCA on your behalf and make arrangements to comply with any requests and attend any interview (voluntary or compulsory) with you. We strongly recommend that you do not attend any interviews without representation.  We can protect your interests during interview and also build up a relationship with the investigating officers in order to make representations on your behalf  for them to consider the various remedies they have available and crucially avoid criminal proceedings wherever possible.

If criminal proceedings are instigated, we have considerable experience representing clients in the Crown Court. We frequently work alongside leading Queen’s Counsel and will ensure that the best possible representation is secured for you.

Please contact our team by phone on 0207 936 6329, Email or by completing our quick contact form (below).


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