Slater and Gordon logo 0330 107 4992 Search Contact us Existing clients Menu Personal Injury Medical Negligence Employment Family Property Home > Criminal defence lawyers > Business crime solicitors > FCA investigation solicitors Criminal law FCA criminal investigations The FCA has significant powers to prosecute firms for both regulatory breaches and criminal behaviour. If you’ve been notified of an FCA investigation, you need expert legal assistance right away. Have you been notified of an FCA investigation? Slater and Gordon’s specialist solicitors have extensive experience of defending disciplinary and criminal matters relating to FCA investigations. Call us 24/7 on 0330 107 4992 or contact us and we’ll call you. Talk to a specialist solicitor today Contact us Have you been notified of an FCA investigation? The Financial Conduct Authority (FCA) has far-reaching powers to deal with both regulatory breaches and criminal offences. If you’ve been notified that you or your business is the subject of an FCA investigation, it’s important to seek specialist legal advice right away. Slater and Gordon’s FCA investigation team have a wealth of experience in defending our clients against allegations of criminality as well as in negotiating with the FCA should disciplinary proceedings be issued. What do FCA criminal investigations involve? FCA criminal investigations cover a broad swathe of areas of financial misconduct; and where malfeasance is uncovered, lead to prosecutions in the criminal courts, fines, financial orders and even custodial sentences for those found guilty. Criminal charges can follow on from FCA investigations into all of these matters: Insider dealing Money laundering Perimeter breaches Fraud Act offences Market rigging Mis-selling financial services Obstructing an FCA investigation Collective investment schemes Boiler room schemes If you’ve been notified that you or your business are under FCA investigation for any of these offences, it’s imperative that you seek legal advice immediately. Our FCA investigation solicitors can help you with a wide range of issues, providing legal advice and assistance with: Representing you in interviews and responding to dawn raids Challenging Restraint Orders Advising on all aspects of FCA investigative powers Advising you on your strategy and options Taking proactive steps to help secure a non-criminal outcome Preparing your case for trial If you’re under FCA investigation, you can call us 24 hours a day, 7 days a week on 0330 107 4992, or contact us and we’ll call you. What do FCA regulatory investigations cover? The Financial Services and Markets Act 2000 (FSMA) makes it the responsibility of every financial firm to assess its own activity and then seek clarification by the FCA if you’re unsure of the need to be Authorised or not. This is a serious responsibility with heavy penalties for the directors of companies that get things wrong. If you’re in any doubt about whether or not your activities require you to be Authorised by the FCA, you should seek urgent advice from our specialist legal team who can advise you and negotiate with the FCA on your behalf should it become necessary. If you’ve questions about any aspect of FCA regulations, FCA investigations or FCA disciplinary proceedings, you can call us 24 hours a day, 7 days a week on 0330 107 4992 or contact us and we’ll call you. Criminal law help and expert guides Contesting a speeding ticket Criminal vs civil law Dangerous and careless driving Drink driving criminal offence Driving into the back of someone fault From start to finish Slater and Gordon solicitors dealt with my case in a fantastic fashion. My solicitor was outstanding. He was thorough and diligent in his work, his professional approach ensured that I was at ease with my situation. I felt that I was in safe hands. I couldn't recommend them highly enough. S S (criminal defence case) Online chat Back to top of page About us Our experts Careers Newsroom Resources Follow Slater and Gordon Accessibility Privacy policy Cookie policy Terms of use Modern slavery act Complaints procedure Fraud and security Slater and Gordon UK Limited is a company registered in England and Wales with registration number 07931918, VAT 125 446 327 and registered office 58 Mosley Street, Manchester M2 3HZ. We are an approved Alternative Business Structure authorised and regulated by the Solicitors Regulation Authority (SRA number: 591058) and authorised and regulated by the Financial Conduct Authority for insurance mediation activity. Slater and Gordon 2020. All rights reserved. By clicking “Accept All Cookies”, you agree to the storing of cookies on your device to enhance site navigation, analyse site usage, and assist in our marketing efforts. Cookies Settings Accept All Cookies