With a market leading reputation, our contentious team is expert in representing clients under scrutiny from the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). Our aim is to deal with regulators in a way that keeps our clients out of Enforcement. Where clients are in Enforcement, we protect them and their reputations, tailoring our approach to suit their individual needs. We have vast experience of the way difficult situations can play out in practice with the regulators, and we act for a wide range of clients, both businesses and individuals. As well as defending against the regulators, our lawyers are also expert in conducting investigations for clients who have uncovered issues that might have regulatory, civil or criminal repercussions.
Financial Services Investigations and Enforcement
Where clients are in less distressed situations with the FCA and PRA, we advise both regulated and unregulated clients on the rules and obligations imposed on them under UK financial services legislation. We help to structure businesses and commercial deals; advise clients as to whether they are caught within the regulatory net and assist with any necessary authorisations and registrations; and provide practical and nuanced advice so that a client can meet ongoing compliance obligations imposed by the regulators and by other financial services law and regulation.
Funds and Financial Services