FCA Investigations

The Financial Conduct Authority (FCA) is the UK’s financial services regulator and one of its key aims is to reduce financial crime, including insider dealing and other fraudulent activities.

The FCA has powers under the Financial Services and Markets Act to regulate the financial services industry in the UK and enforce those rules through the civil and criminal courts.

Crimes that fall under FCA criminal investigations are very wide reaching and include:

  • Insider dealing and market abuse
  • Misleading statements and practices
  • Breaching money laundering regulations
  • Conducting a regulated activity without authorisation

The FCA will investigate and then determine which action to take. This involves gathering evidence and interviewing individuals. If you are involved in an FCA investigation or have been accused of financial wrong-doing, it is essential that you seek legal advice as soon as possible as this can have severe repercussions for you and your business.

Our experienced Financial Crime and Regulatory Lawyers at Nicholls & Nicholls can provide timely assistance and representation at any stage of an investigation. We can liaise with the FCA and attempt to halt the investigation at an early stage, or defend prosecutions that arise from an investigation. Early engagement can lead to the best outcomes, including out of court disposals.

We can provide comprehensive advice on this complex area of law throughout an investigation or prosecution and take a strategic and solutions-driven approach to achieve the best outcome for you and your business. We work closely with forensic experts and other financial specialists to ensure you have the best team around you.

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