Fraud & Regulatory

Financial Conduct Authority (FCA) Investigations

We have extensive experience in acting for individuals and organisations facing investigations or enforcement procedures conducted by the FCA. We represent regulated and unregulated entities facing the extensive powers of the FCA. We can advise on both the criminal and regulatory investigative powers being used. We have particular expertise representing organisations who are the subject of interest from the Unauthorised Busines Department of the FCA Enforcement and Market Oversight division. This is currently a particular area of interest for the FCA and they are concentrating on investigating breaches of ss19 and 21 of the Financial Services and Markets Act 2000 (FSMA).

We specialise in liaising with the FCA to ensure the best resolutions for our clients whether that is through written representations or representation at interviews. The FCA have extensive powers to request documentation and to ask questions going far beyond the more usual criminal investigation powers and it is important you have this specialised knowledge on your side if you are approached by the FCA.


  • Written responses to the FCA during investigations;
  • Representation during interviews conducted by the FCA;
  • Advice on and preparation of document requests;
  • Advice on website disclaimers and the regulatory process;
  • Written or oral representations to the Regulatory Decisions Committee (RDC);
  • Advice on resolutions;
  • Advice on Notices (Warning, Decision and Final);
  • Mitigating fines and breaches of FSMA
  • Appeals to the Upper Tribunal;
  • Criminal investigations and prosecutions;
  • How to protect your business against investigation;
  • Exemptions available against the general prohibition;

Our experienced team of FCA solicitors have the experience and knowledge to look at the required level of detail to represent you. Contact our expert solicitors on 0330 111 2814 or complete our online enquiry form below.

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