Slater and Gordon Lawyers regularly represent individuals under investigation for financial crime or facing regulatory procedures. As the leading UK employment law firm for employees we have a unique cross-practice team of Solicitors that advise people facing FCA investigations, combining legal expertise in criminal, regulatory and employment law.
With the Financial Conduct Authority (FCA) now making use of both its regulatory and criminal powers to bring proceedings against people working in the financial services sector, rather than the principal criminal law enforcement agencies, people affected by FCA investigations benefit from a law firm that understands the full range of ways the FCA can affect financial services workers as individuals.
Our FCA Investigation 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 can represent 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 FCA or the Financial Services and Markets Tribunal.
We can advise parties concerned with or affected by FCA 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.
Slater and Gordon Lawyers is one of the UK's largest and well known law firms with offices in Birmingham, Cambridge, Cardiff, Edinburgh, Leeds, Liverpool, London and Manchester.