Financial Conduct Authority (FCA) solicitors

If you or your business is being investigated by the Financial Conduct Authority (FCA) you need to take immediate action to ensure that you have the protection of a specialist lawyer to guide you through the complex and sometimes draconian regulations. Stephensons has a team of specialist lawyers with experience of defending clients facing enforcement action by the FCA. For immediate advice from a member of our team, call us on 0203 816 9274.

The Financial Conduct Authority (FCA) replaced the Financial Services Authority (FSA) on 1st April 2013. The FCA has wide ranging powers to investigate breaches of the codes of conduct by businesses or professional individuals providing financial services. The enforcement division has the power to investigate regulatory breaches or criminal offences.

You will need specialist advice if you or your business finds you are the subject of any such investigation or prosecution.

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You may need advice on:

  • Interviews under caution
  • Compulsory interviews
  • Voluntary interviews
  • Compulsory requests for documents and information
  • Responses to information requests
  • Searches of your home and/or office
  • Restraint orders and the freezing of company or personal assets
  • Seizure of computers and other electronic devices
  • Hearings before the Regulatory Decisions Committee (RDC)
  • Hearings before the Upper Tribunal
  • Negotiated settlements and final notices
  • How to deal with adverse publicity
  • Applications for Controlled Status Functions

The FCA have made it clear that they intend to become more aggressive in respect of regulating financial services and this will impact hugely on banks, corporations and any individuals involved in the provision of financial services. Independent Financial Advisers will also be under considerable scrutiny. There will be many more prosecutions for any perceived market abuse.

Criminal offences

Our aim will be to protect you from the outset against the threat of criminal proceedings and we will take all steps to achieve a non-criminal outcome of your investigation if at all possible. Offences that may come under investigation are:

  • Insider dealing
  • Mis-selling
  • Using misleading statements or practices
  • Money Laundering
  • Land banking fraud
  • Carbon credit fraud
  • Investment fraud
  • Fraudulent selling of shares or ‘boiler room’ fraud
  • Illegal deposit-taking
  • Unauthorised collective investment schemes
  • Mortgage fraud

We're widely accredited for our work - regulatory & criminal justice

  • Legal 500

It is our business to deliver legal services that work for our clients, you can trust our specialists to take care of things on your behalf. Over the years our regulatory and criminal justice team has been recognised by industry awards and accredited for their excellence.

Memberships & accreditations

Sanctions available to the Financial Conduct Authority

  • Substantial fines
  • Intervention
  • Public censure and warnings
  • Banning individuals from practice
  • Withdrawal of permissions to conduct regulated business
  • Notification of breaches
  • Prosecution/charge

We have a team of specialist lawyers available to assist at every stage of these very difficult investigations and the protection of your reputation and your business is paramount.

Creditor negotiation & insolvency

If your business is under scrutiny by the FCA this can have an impact on your ability to trade and the long term future of your business.  We can offer advice on short term solutions in terms of negotiation with creditors as well formal insolvency regimes. We can assist in both solvent and insolvent winding up of a company and help manage the closure of your business if this is unavoidable. In addition we can provide you with advice on personal insolvency as a result of business closure in respect of guarantees provided by individuals, loans to the insolvent company and what the implications of this can be in the long term. 

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It is our business to deliver legal services that work for our clients, and you can trust our specialists to take care of things on your behalf.

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I am undergoing a stressful time and I am very pleased with all the help and advice given by Stephensons. They have been excellent with their communication whether by emails or telephone calls and explain in detail everything I need to know of my situation. I highly recommend them.
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As an award-winning top 150 law firm, with over 450 staff based in offices across the country, you're never far from the advice you need.

Find your nearest Stephensons office and arrange a meeting

As an award-winning top 150 law firm, with over 450 staff based in offices across the country, you're never far from the advice you need.