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.

Services within Financial Services Regulation

  • FCA Investigations & Enforcement 

    Specialist Financial Conduct Authority (FCA) lawyers with experience in high profile investigations, insider dealing, prosecutions & market abuse cases.

  • Financial Advice & Regulatory Compliance

    Financial services regulation is ever-changing and complex, with firms having to allocate increased resources and costs to meet their compliance obligations. It is therefore important to have company procedures that are fully compliant.

  • Cryptocurrency & Digital Assets

    We provide specialist legal advice to individuals or businesses help you manage risk, navigate disputes, recover assets, and stay compliant with digital assets and crypto currency.

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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.

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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