At Slater & Gordon Lawyers, we regularly represent individuals under investigation for financial crime or facing regulatory procedures. As the leading firm for employees, we have a unique cross-practice team that advises individuals facing Financial Services Authority (FSA) investigations, combining expertise in criminal, regulatory and employment law.
With the FSA now making use of both its regulatory and its criminal powers to bring proceedings against those working in the financial services sector, rather than the principal criminal law-enforcement agencies, those affected by FSA investigations benefit from a law firm that understands the full range of ways the FSA can affect financial services workers as individuals.
Our FSA unit was formed in 2002 to focus the expertise we can offer you personally from our regulatory, criminal, employment and other relevant practices. Within each of these fields our lawyers are recognised as market leaders who are regularly interviewed on and write about this growing area of law.
As we specialise in advising individuals, we are able to act for individuals where other firms may be excluded from doing so because of potential conflicts of interest. We can also provide additional expertise where both an institution and an individual employer are cooperating in making representations to the FSA or the Financial Services and Markets Tribunal.
Regulatory and criminal proceedings
We are able to advise parties concerned with or affected by FSA investigations, represent individuals who are subject to enforcement proceedings, and assist people with contentious authorisation processes.
We can act on all areas of employment law and issues specific to the financial services industry, such as the granting/withdrawal of approved persons status, the test for fitness and propriety, individual compliance and disclosure obligations, restrictive covenants, data protection and whistleblowing.