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"With a good breadth of knowledge, this leading claimant practice wins fantastic work that is difficult to match."

Chambers and Partners Guide to the Legal Profession

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FSA

We have a dedicated FSA Unit specialising in Employment, Regulatory and Litigation advice on the regulatory regime governed by the Financial Services Authority, including the enforcement and investigative process, as well as the involvement of overseas regulators. We regularly represent individuals before the Regulatory Decisions Committee and the Financial Services and Markets Tribunal.

We are proud of the fact that the experts in our FSA team are all individually recognised as leading lawyers in their different legal fields. This, uniquely among law firms, enables us to offer our clients a complete package of advice and representation in this highly technical and specialist legal area.

Our FSA Unit is dedicated to providing quality and cost-effective advice to professionals working in the financial services industry.

Employment
We cover all areas of Employment law including specific issues arising within the financial services industry, such as the granting or withdrawal of approved person status, the test for fitness and propriety, individual compliance and disclosure obligations, restrictive covenants, data protection and whistleblowing.

Regulatory
The FSA Unit Regulatory specialists can advise on the enforcement process, and on the investigative powers available to the FSA, including where overseas regulators become involved. We regularly represent individuals before the Regulatory Decisions Committee and the Financial Services and Markets Tribunal.

Litigation
Our Litigation experts have all the resources to deal with major cases where individuals face serious sanctions and consequences under the criminal and civil law. Examples include, market abuse, fraud, money laundering, breach of fiduciary duty claims, directors disqualification proceedings and injunctive proceedings.

At Russell Jones and Walker, we are able to act for individuals where other firms may be excluded from doing so due to potential conflicts of interest. We are also able provide additional expertise, for example where both an institution and an individual employee are co-operating in making representations to the FSA, or the Financial Services and Markets Tribunal.

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