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Financial Conduct Authority Investigations

If you are facing enforcement action by the Financial Conduct Authority (FCA) then you need to speak to a solicitor as soon as possible. This body replaced the Financial Services Authority in 2013 and was created specifically to investigate and prosecute wherever it suspects or identifies misconduct in financial markets. It has the power to investigate breaches of the codes of conduct by any company or individual providing financial services.

The reasons for an investigation could be associated with money laundering, fraud and insider dealing.  Increasingly, the FCA are targeting anyone they suspect to be associated with illegal activity, not only directors and senior management.

Why is it vital to have a solicitor on hand during FCA investigations?

The FCA can force anyone to attend an interview or produce information which is why it is vital to have a solicitor on hand who is familiar with the workings of the FCA and can represent you in your dealings with them. We are also able to help you deal with any potential employee conflicts in relation to the investigation.

Throughout the investigation, the FCA can put restraints on you and your business which can include suspending your trading activity. At AFG LAW we have many years of experience in dealing with investigative bodies and we defend our clients against the prosecuting agencies.

Our specialist team of investigation lawyers are available to help you.

Our initial advice is free. Speak to us over the phone, via e-mail or in person if you prefer. You can either fill out our contact us form or call us on 01204 377600.

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