Our team of FCA investigations lawyers have complementary expertise from the criminal, civil, and regulatory sides. We help clients from across the financial services sector to assess, report, and liaise with regulators effectively and discretely throughout the investigation process.
If you have concerns about things gone wrong, we’ll help you to conduct an internal investigation. We can also help you if the FCA wrote to you, whether because you or your business is under direct investigation, or because you’re compelled to provide information. We’re used to dealing with s.166 Skilled Person Reviews, so we understand exactly what investigators would be looking for and what you would need to disclose.
FCA investigations can easily snowball into more complex issues, as regulatory breaches often have wider GDPR and criminal implications. Our data and information management experts can advise your data protection officers on investigation disclosure, and should you find yourself under suspicion of a criminal offence, our business crime specialists will advise on how to avoid, and defend yourself from, prosecution.
To protect your business’ operations and reputation from the potential negative repercussions of an FCA investigation, we recommend seeking legal advice as early as possible to benefit from legal privilege and ensure confidentiality.
We can help you to conduct internal investigations, and we can advise on both external investigations and regulatory disclosures relating to: