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FCA lawyers - defence lawyers for financial services professionals and firms

If you or your firm are being investigated by the Financial Conduct Authority (FCA), whether you are authorised or otherwise, it is important that you take immediate action and seek specialist legal advice from the outset of this process to protect your interests.

Our specialist lawyers are experienced in advising and defending firms and individuals facing enforcement action by the FCA. For immediate advice from one of our specialist FCA lawyers call 01616 966 229.

  • Professional Discipline & Fitness to Practise Lawyers

    Head of Regulatory Law Carl Johnson talks about the role his team take in professional discipline and fitness to practise issues. Carl discusses the sort of cases the team at Stephensons can handle, the possible outcomes of professional discipline investigations and why legal advice is vital.

    "This area of law involves cases which are often highly emotionally charged. For a professional to be under scrutiny by their regulator or professional body that can create a lot of stress, a lot of anxiety and put clients under a lot of pressure. A specialist lawyer provides a much needed barrier between the professional and their regulator and can help absorb some of that pressure and stress, and that's an important service that we provide to our clients." - Carl Johnson


Why choose Stephensons?

We are recommended by the Legal 500 for disciplinary work. We are a national law firm with a network of offices, including London and Manchester, allowing us to act for clients nationwide. We are a large regulatory department with a number of specialist lawyers and as such we regularly take on cases at short notice. We appreciate how disruptive an investigation can be to you and your business and recognise the need for urgent advice.

The necessity to have specialist guidance throughout this process stems from the fact the FCA have wide ranging powers, over both authorised and unauthorised firms, that can have serious implications for the businesses and individuals concerned.

If you are an unregistered firm or individual of the FCA, the effects of the investigation will by all means not be any less severe than if you had been registered. It is a criminal offence under the Financial Services and Markets Act (FSMA) to engage in regulated activity while you are not authorised by FCA or are not exempt. Many investigations turn on whether a firm’s activities fall within the scope of the Regulated Activities Order (RAO).

Additionally, the FCA routinely publish details in relation to the firms/individuals whom they take action against, which can have serious reputational implications for you and your business.  

How we are able to assist you:

  • Preparing written responses to the FCA on your behalf
  • Assisting you in relation to providing relevant documents and with interviews under caution
  • Making representations following preliminary findings
  • Advice and guidance in relation to the resolution process
  • Assistance before the Regulatory Decisions Committee and/or the upper tribunal
  • Making representations in relation to warning notices
  • Action following decision notices
  • Submitting appeal applications
  • Issues relating to the FCA publishing information about your firm regarding the matter
  • Advising in relation to investigations by the FCA’s Unauthorised Business Department

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Our experience

We have experience of advising individuals and business in relation to wide range of issues and allegations. These include the following:

  • Unauthorised collective investment schemes
  • Consumer credit
  • Issues with websites, including promotions and disclaimers
  • Corporate identity, ownership and associated notifications
  • Unregulated pension products
  • Arranging investments
  • Exemptions in relation to HNWIs and SCSIs
  • Advice on publication of decisions and applications for reviews

For a confidential, no-obligation discussion regarding your case, contact one of our specialist lawyers on 01616 966 229. Alternatively, please complete our online enquiry form and a member of the Regulatory team will contact you as a matter of urgency.

4.5out of 10
4.5 score on Trustpilot Based on count 1563

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