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Financial Conduct Authority (FCA) Investigations

Our team is highly regarded for their work in investigations brought by the Financial Conduct Authority.

We have a wealth of experience in representing clients subject to FCA investigations. The FCA has the power to conduct criminal and regulatory prosecutions and our team has a vast amount of experience in both.

Our team consists of both civil and criminal lawyers and those specialising in disciplinary proceedings. We are well equipped to deal with all aspects related to these matters. We are able to provide representation at all levels in a way that minimises disruption and reputational damage to your business.

We represent individuals subject to criminal, civil and regulatory investigations brought by the FCA including alleged breaches of the principles for business and approved persons, money laundering, mis-selling, market abuse and insider dealing.

We also conduct internal investigations on behalf of companies regulated by the FCA where allegations of misconduct and wrongdoing are raised internally. We provide clear and coherent advice throughout the internal investigation and where required we assist with liaising with the regulating authority. We provide comprehensive and strategic advice on the self-reporting process.

Our team has experience in representing individuals subject to FCA investigations conducted together with overseas regulators and enforcement agency investigations.

Notable work includes:

  • Representing individuals in the joint FCA/DOJ investigation into the alleged manipulation of LIBOR and FOREX
  • Advising a major multi-national company conducting an internal investigation resulting in a self-report to the regulator and subsequent application for immunity
  • Advising UK hedge fund in a multi-jurisdiction market abuse investigation
  • Advising a hedge fund manager in the UK in relation to a major investigation by the French regulator.

Get in touch

Ian Ryan

Ian Ryan : Partner