FCA Investigations and Enforcement
Over the years the FCA has become increasingly robust in their approach to regulation in the name of “credible deterrence”. The FCA believe that the substantial penalties imposed will force a change in behaviours across financial services. Consequently, the FCA have increased regulatory and criminal investigations, resulting in more regulatory action and criminal prosecutions.
Our expertise includes:
- Insider dealing and market abuse
- Unauthorised business
- Collective investment schemes
- Misleading the market
- Misleading statements and impressions
- Breaches of the FCA’s rules and principles
- Systems and controls issues
- Senior Managers and Certification Regime
- Approved person applications and the ‘fit and proper’ test
- Representation in interview
- Compulsory information requirements
- Representation in regulatory proceedings: settlement negotiations, warning and decision notices, RDC and Upper Tribunal hearings
- Internal investigations
- Self-reporting
As our Head of Crime, Investigations and Enforcement team is a former FCA enforcement lawyer, with experience of both regulatory investigations and criminal prosecutions, we have a rich understanding of the FCA’s approach to investigations and criminal prosecution.
We advise a broad range of clients being pursued by the FCA, and we also provide advisory services for firms wishing to improve their Corporate Compliance programmes, particularly in relation to systems and controls to prevent financial crime.
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