2013 was a record year for enforcement brought by the Financial Conduct Authority and other overseas regulators responsible for the financial services sector.
This trend of “credible deterrence” will continue in 2014 with the Financial Conduct Authority bringing more enforcement cases, including more against individuals, which it wants to lead to tougher penalties.
The Financial Conduct Authority (FCA) is also now taking a much tougher approach when considering applications for Controlled Function Status, making it more difficult for individuals to secure work in the financial services sector.
Criminal Investigation Solicitors
The FCA often works in conjunction with the police and other investigating agencies, and has the power to prosecute a range of criminal offences including insider dealing, money laundering and Fraud Act offences.
Contact Slater and Gordon Lawyers now if:
- The FCA wants to speak to you
- The FCA brings enforcement action against you
- You are affected in any way by FCA proceedings.
The FCA is increasingly targeting a wide range of individual people, many of whom may not be senior management and who might previously have thought they would not become involved in FCA enforcement proceedings.
Our Solicitors have over 30 years experience helping people who become involved with actions by financial regulators, and have represented clients in many of the most high profile and complex investigations of recent times. These include LIBOR and UBS. With this experience we can provide comprehensive legal advice about your rights; and the options you have.
We can provide expert legal advice and assistance with:
- Representing you in interviews & respond to dawn raids
- Challenging Restraint Orders
- Advising on all aspects of FCA investigation powers
- Advising you on strategy and your options
- Taking proactive steps to secure a non-criminal outcome if possible
- Preparing your case for trial.
Regulatory Investigation Solicitors
We have represented clients in investigations including:
- Market abuse
- Land bank and carbon credit inquiries
- Applications for Controlled Status Functions
- Challenges/ removals of Controlled Status Functions
- Breach of FCA Principles
- International investigations which may / may not involve the FCA.
Our Business Crime Solicitors are experts in preparing clients for interview, responding to requests for information and making representations to the FCA. We can ensure that your case is ready to be heard by the Regulatory Decisions Committee or Upper Tribunal.
We offer a free initial consultation and can provide immediate legal representation anywhere in the UK.
Call our Business Crime & Regulatory Solicitors on freephone 0161 830 9695 or contact us online.
Slater and Gordon Lawyers is one of the UK's largest and well known law firms with offices in London, Manchester, Watford, Liverpool, Chester, Birmingham, Sheffield, Cardiff, Edinburgh, Cambridge, Milton Keynes, Preston, Wakefield and Wrexham.