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Criminal law

FCA criminal investigations

The FCA has significant powers to prosecute firms for both regulatory breaches and criminal behaviour. If you’ve been notified of an FCA investigation, you need expert legal assistance right away.

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Have you been notified of an FCA investigation?

Slater and Gordon’s specialist solicitors have extensive experience of defending disciplinary and criminal matters relating to FCA investigations. Call us 24/7 on 0161 830 9632 or contact us and we’ll call you.

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Have you been notified of an FCA investigation?

The Financial Conduct Authority (FCA) has far-reaching powers to deal with both regulatory breaches and criminal offences. If you’ve been notified that you or your business is the subject of an FCA investigation, it’s important to seek specialist legal advice right away. Slater and Gordon’s FCA investigation team have a wealth of experience in defending our clients against allegations of criminality as well as in negotiating with the FCA should disciplinary proceedings be issued.

What do FCA criminal investigations involve?

FCA criminal investigations cover a broad swathe of areas of financial misconduct; and where malfeasance is uncovered, lead to prosecutions in the criminal courts, fines, financial orders and even custodial sentences for those found guilty. Criminal charges can follow on from FCA investigations into all of these matters:

  • Insider dealing
  • Money laundering
  • Perimeter breaches
  • Fraud Act offences
  • Market rigging
  • Mis-selling financial services
  • Obstructing an FCA investigation
  • Collective investment schemes
  • Boiler room schemes

If you’ve been notified that you or your business are under FCA investigation for any of these offences, it’s imperative that you seek legal advice immediately. Our FCA investigation solicitors can help you with a wide range of issues, providing legal advice and assistance with:

  • Representing you in interviews and responding to dawn raids
  • Challenging Restraint Orders
  • Advising on all aspects of FCA investigative powers
  • Advising you on your strategy and options
  • Taking proactive steps to help secure a non-criminal outcome 
  • Preparing your case for trial

If you’re under FCA investigation, you can call us 24 hours a day, 7 days a week on 0161 830 9632, or contact us and we’ll call you.

What do FCA regulatory investigations cover?

The Financial Services and Markets Act 2000 (FSMA) makes it the responsibility of every financial firm to assess its own activity and then seek clarification by the FCA if you’re unsure of the need to be Authorised or not. This is a serious responsibility with heavy penalties for the directors of companies that get things wrong. If you’re in any doubt about whether or not your activities require you to be Authorised by the FCA, you should seek urgent advice from our specialist legal team who can advise you and negotiate with the FCA on your behalf should it become necessary.

If you’ve questions about any aspect of FCA regulations, FCA investigations or FCA disciplinary proceedings, you can call us 24 hours a day, 7 days a week on 0161 830 9632 or contact us and we’ll call you.

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