Financial Services Regulation
Financial regulators are scrutinising firms more closely than ever, with inquiries targeting conduct, risk management, and customer treatment. If your business faces action from the Financial Conduct Authority (FCA) or other regulators, you need legal support that balances regulatory demands with commercial priorities.
Legal advice on financial services regulation and FCA investigations
Whether you're dealing with enforcement, supervisory checks, or defending against allegations of misconduct, we guide you through the process at every stage. From responding to information requests and interviews under caution through to enforcement proceedings and negotiations, we ensure you understand the risks, obligations, and strategic options available.
We can support with:
- Responding to FCA or PRA inquiries and enforcement
- Advising on obligations and conduct of business standards
- Preparing for interviews under caution and information requests
- Defending firms and individuals against allegations of misconduct
- Handling supervisory checks and reporting duties
- Managing the reputational impact of regulatory scrutiny.
With multidisciplinary advice from long-term legal partners, you can respond with confidence to regulatory scrutiny and maintain the trust of both clients and government bodies.
Speak to a Legal Partner
Our team support you to navigate complexity, seize opportunity and move forward with legal clarity.
Contact our Specialists
Get strategic advice from a team that knows how to protect and grow your business. Please complete our enquiry form and one of our experts will contact you by the next working day.
Alternatively, you can call us now.
Our opening hours are Monday to Friday 8am to 6pm (Excluding Public Holidays).
0370 1500 100
Making an enquiry
We have several ways you can contact us, either by completing our online contact form, by phone, or using our live chat. If you start your journey online, here are the first steps to working together.
Complete our online formWe need a few details to understand your situation and the kind of support you need.
We’ll contact you by phoneOn the call our experts will ask you a few more questions to make sure we connect you with the right legal advice from our team.
We arrange a full appointmentYour next step is an in-depth appointment with a specialist solicitor to discuss how we could advise you.
Frequently Asked Questions
Supervisory action can be complex, with serious financial and reputational consequences. Here are answers to some of the most common questions:The FCA can require information and documents, carry out interviews under caution, and inspect records. They can also bring criminal prosecution proceedings in financial crime cases.
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