FSA investigations and enforcement solicitors
If your business is under investigation or facing prosecution from the FSA, our expert lawyers will defend your best interests and fight your case every step of the way.
As a firm we are mindful of the careful balance needed when dealing with the FSA in their role as Prosecutor and Regulator.
Alongside dealing with an investigation or prosecution, it is often just as important to preserve your working relationship with the FSA to ensure that, where possible, your company is in a position to continue business as usual during and after any proceedings.
Our team has a wealth of experience in assisting corporate institutions who are facing investigation by the FSA. We regularly advise upon all aspects of civil and criminal proceedings and regulatory enforcement action brought by the FSA.
The FSA’s powers on enforcement are extensive and we can assist at every stage of the process:
- in relation to dealing with compulsory requests for information and documents
- advising upon and attending when an individual has been compelled to attend an interview with the FSA
- variation or cancellation of a firm’s permissions
- advising upon a requirement to appointment a Skilled Person under s.166 FSMA
Whatever the issue, our team has experience in dealing with the full gamut of powers available to the FSA.
Our lawyers have experience in dealing with the FSA’s Enforcement and Supervision Divisions and equally with the Regulatory Decisions Committee (“RDC”) and Upper Tribunal (formerly the Financial Services and Markets Tribunal) and are adept at assisting and advising at whatever stage of the process your firm may find yourselves.
To arrange a discussion with a regulatory solicitor click here or call us on 0800 840 4929.
