FCA Solicitors

Financial Conduct Authority (FCA) Investigation Solicitors

If you or your firm find yourselves under investigation by the Financial Conduct Authority (FCA), whether you hold authorisation or not, it is crucial to act promptly and secure specialised legal counsel right from the beginning to safeguard your interests.

Each year Simon Caltagirone, Head of White Collar Crime and Corporate Disputes, specialising in matters involving the Financial Conduct Authority (FCA), collaborates with numerous high-profile individuals undergoing FCA investigations.

The specialist FCA defence lawyers at Twelve Tabulae are experienced in advising both individuals and firms facing enforcement action by the FCA. For immediate advice from one of our specialist FCA lawyers on Financial Conduct Authority investigations contact us today.

What Is FCA Responsible For?

The Financial Conduct Authority holds a significant and multifaceted portfolio of responsibilities, all geared towards maintaining the integrity and stability of the financial industry. Here are some key areas of its jurisdiction:

• Supervision of Financial Services: The FCA supervises and regulates a wide range of financial services, including banks, insurance companies, investment firms, and more. It ensures that these entities operate in compliance with the relevant regulations.
• Consumer Protection: Protecting consumers’ interests is a paramount goal of the FCA. It seeks to ensure that financial products and services are fair, transparent, and suitable for consumers.
• Regulatory Investigations: The FCA is responsible for conducting investigations into potential breaches of financial regulations. These investigations can involve various issues, including fraud, insider dealing, market abuse, market manipulation, and more.
• Regulatory Decisions Committee: The Regulatory Decisions Committee (RDC) is an independent body within the FCA that makes decisions on regulatory matters. It plays a crucial role in ensuring fair and impartial outcomes in regulatory cases.
• Financial Penalties: The FCA has the authority to impose substantial financial penalties on businesses and individuals found guilty of regulatory breaches. These penalties can be substantial and can have a profound impact.
• Enforcement and Prosecutions: The authority can initiate enforcement actions and prosecutions against individuals or businesses that violate financial regulations. These proceedings can lead to financial penalties, bans from operating in the industry, and even criminal investigations.

What Powers Does The FCA Have During An Investigation?

Throughout an investigation, the FCA possesses the power to:

• Temporarily suspend you and/or your firm from conducting regulated activities.
• Impose fines on the firm or individuals found in breach of FCA regulations or engaged in market abuse.
• Apply to the Court for injunctions, winding-up orders, and restitution orders.
• Initiate criminal prosecutions against individuals involved in financial crimes like insider dealing, market manipulation, fraud, or unauthorised business activities that violate the general prohibition.
• Administer fines and publicly censure those in violation.
• Pursue compensation for affected consumers.
• Demand information from the firm, including both digital and hard-copy records, and conduct interviews with you to gather essential information.

Why Choose Twelve Tabulae As Your FCA Solicitors?

FCA investigations can be complex and daunting. Twelve Tabulae has an in-depth understanding of the FCA investigation process, allowing us to navigate it efficiently and effectively on your behalf. Our services include a wide range of crucial tasks, including:

• Drafting written responses to the FCA on your behalf.
• Providing support in handling pertinent documents and assisting with interviews conducted under caution.
• Crafting representations following preliminary findings.
• Offering legal advice and guidance throughout the resolution process.
• Providing assistance when dealing with the Regulatory Decisions Committee and/or the Upper Tribunal.
• Making representations in response to warning notices.
• Taking necessary actions following decision notices.
• Submitting appeals when applicable to the Upper Tribunal, offering a recourse for challenging adverse rulings.
• Addressing concerns regarding the FCA’s publication of information concerning your firm related to the matter.
• Providing expert advice regarding FCA investigations conducted by the Unauthorised Business Department.

Clear and effective communication is key when dealing with regulatory investigations. Twelve Tabulae prides itself on its ability to communicate complex legal matters in a way that clients can understand, ensuring you are well-informed throughout the process.

In FCA cases, financial intricacies often come into play. Twelve Tabulae collaborates with forensic accountants when necessary, ensuring a comprehensive defence strategy tailored to the specific details of your case.

We understand the disruptive nature of an investigation, both for you and your business, and acknowledge the importance of immediate advice. Our dedication to achieving the best possible outcomes for clients is evident in our past achievements.

Ready To Protect Your Financial Interests?

Twelve Tabulae are a leading law firm specialising in FCA matters, offering unparalleled expertise, experience, and dedication to our clients. Every FCA case is unique, and Simon Caltagirone recognises this fact. He provides personalised legal advice and strategies tailored to the specific circumstances of your case.

When facing FCA investigations, regulatory decisions, or enforcement actions, Twelve Tabulae is your trusted partner in securing the best possible outcome for your legal matters. Whether you are an individual or business seeking expert legal representation in the complex world of financial regulation, our FCA investigation solicitors are here to assist you.

Contact our dedicated FCA Solicitor Simon Caltagirone, Head of White Collar Crime and Corporate Disputes, for personalised guidance and expert representation. Your financial future deserves the best defence.

Simon Caltagirone
CEO and Senior Solicitor