FSA Investigations

With the FSA now making use of both its regulatory and criminal powers to bring proceedings against persons working in the financial services sector, rather than the principal criminal law enforcement agencies, those affected by FSA investigations benefit from a law firm that understands the full range of ways the FSA can affect financial services workers as individuals. 

Our FSA Unit was formed in 2002 to better focus the expertise we can offer you personally from our regulatory, criminal, employment and other relevant practices. Within each of these fields our lawyers are recognised as market leaders who are regularly interviewed on and write on this growing area of law.

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

Regulatory and Criminal Proceedings

Advising parties concerned with or effected by FSA investigations, representing individuals who are subject to enforcement proceedings and assisting persons with contentious authorisation processes.

Employment

All areas of employment law and specific financial services industry issues, such as the granting/withdrawal of approved persons status, the test for fitness and propriety, individual compliance and disclosure obligations, restrictive covenants, data protection and whistleblowing.

Contact our expert FSA Unit to discuss your case today

Regulatory: Rod Fletcher on 020 7657 1769

Employment: Clive Howard on 020 7657 1515