Financial Services Authority investigations
Our FSA Unit was formed in 2002 to capitalise on the expertise we are able to offer clients in our Regulatory, Criminal, Employment and Civil Litigation practices.
Within each of those fields our lawyers are recognised as market leaders who are regularly interviewed about and write on this ever-increasing area of law.
Regulatory and Criminal Proceedings
Our regulatory specialists possess recognised expertise in the following areas:
- Advising parties concerned with or effected by FSA investigations
- Representing individuals who are subject to enforcement proceedings
- Assisting persons with contentious authorisation processes
Increasingly the FSA is making use of both its regulatory and criminal powers to bring proceedings against persons working in the financial services sector, which previously would have been dealt with by the principal criminal law enforcement agencies. This is particularly so in relation to market abuse. Russell Jones & Walker is distinct from many firms practising in this area in that we are widely regarded as a leading firm in the representation of those under investigation and/or prosecution for complex crime. This enables us to analyse problems from both a criminal and a regulatory perspective and advise our clients accordingly.
Click here for further information on our work in this field or contact Rod Fletcher on 020 7339 6442.
Employment
The FSA Unit covers all areas of employment law including specific issues arising within the Financial Services Industry, 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.
For more information in this area please contact Clive Howard 020 7339 6425.
Civil Litigation
Our litigation experts are able to deal with major cases where individuals face serious sanctions and consequences under the civil law. Examples include civil/commercial fraud, breach of fiduciary duty, directors disqualification proceedings and injunctive proceedings.
Please contact Marc Jones 020 7339 5695 for more information on civil litigation matters.
At Russell Jones & 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 to provide additional expertise for example where both an institution and an individual employer are co-operating in making representations to the FSA or the Financial Services and Markets Tribunal.