Financial Conduct Authority (FCA)

For Businesses

We have proven expertise in helping clients who run into difficulties in the complex world of Financial Conduct Litigation and Regulation. Our specialist knowledge in this difficult area is well known. The legislation, is technical and complex, and needs an experienced guide.

We act for individuals and organisations targeted by the Financial Conduct Authority (FCA), particularly in allegations of conducting unauthorised investment activity on the grounds their business model amounts to a Collective Investment Scheme. The consequences of an adverse finding are devastating and criminalise the business.

Early advice and representation are key for business and individuals given the consequences of reputational damage, heavy fines and even imprisonment.
Proceeds of Crime Act proceedings may also be bought in conjunction with these types of cases. We have a wealth of experience in this area and can offer comprehensive advice from the outset.

We engage in litigation with the FCA on behalf of clients, sometimes defending injunctions and freezing orders obtained by the without notice. We act for authorised business and persons in “fit and proper person” issues, and in Market Abuse cases, memorably for Paul ”the plumber” Davidson at the FSMA tribunal.

We successfully defended a city lawyer, Andrew Rimmington, in an insider dealing case at the Crown Court – the first such case the FCA lost.