FCA Regulatory Investigations

Expert Defence Against FCA Regulatory Investigations

At KANGS we represent individuals and businesses regulated by the Financial Conduct Authority (FCA) facing allegations of violating FCA regulations. With over twenty-five years of experience and a deep understanding of financial regulatory law, our team of solicitors are well equipped to manage the most complex cases.

We are good at what we do. Our work in Financial Crime and Fraud Investigations has earned us a Band 1 National Ranking by the legal directory, Chambers UK.

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Challenging the FCA

We understand that it can be daunting facing an investigation involving alleged breaches of Financial Conduct Authority regulations. Our nationally recognised and award-winning team is here to provide you with expert defence and navigate the challenges faced during a FCA investigation.

We have a successful record of handling a broad range of cases, including:

Breach of FCA rules and guidelines
Unauthorised Trading and Investment Schemes
Conflicts of interest (the client's best interests’ rule)
Failure to prevent financial crime
Insider Trading and Market Manipulation
Representation before the Regulatory Decisions Committee (RDC) & Upper Tribunal.

We are known for our client-centred approach and for providing personalised legal representation. Our lawyers are meticulous, analysing every detail, taking time to understand our clients’ unique situations and tailoring our defence strategies to meet their needs.

Our services include:

Consultations: A consultation can be used to assess your case and provide you with a clear understanding of your legal position and options.
Negotiation and settlement agreements: Subject to your instructions we can engage in negotiations with the FCA to potentially settle the case before it goes to court.
Legal Representation: From the moment you receive the notice of an investigation we provide advice and representation during investigations and court proceedings. We will support you through the entire process.

Expertise in FCA Regulatory Defence

If you are expecting an FCA investigation or received a notice, it is vital you seek expert legal advice immediately from our FCA investigation defence team. Investigation can result in financial penalties, suspensions, restrictions, conditions and public censures being issued by the FCA.

Let KANGS provide the robust and strategic defence you need to protect your rights and secure your future.

Testimonials

The team has substantial experience in multi-jurisdictional criminal and financial regulatory investigations.

THE LEGAL 500

It is a first-rate team that is dedicated to its clients and is tenacious in challenging the prosecution.

CHAMBERS UK

This is a firm that can manage the very largest case with the greatest efficiency. Tactically astute with vast experience at Partner level.

THE LEGAL 500

The Experts

Our people

Got a question?

Can’t find what you need? Get in touch with our experienced team, who are happy to answer any questions you have. Call us on 0333 370 4333.

Who do KANGS act for in FCA regulatory investigations?

We act for a wide range of companies and individuals, including those listed below amongst others:

Independent Financial Advisors, Wealth Managers, Brokers, Pension Advisors
Senior Management (CEO, CFO, COO and Board of Directors)
Trade and Investment Managers
FCA Regulated companies

Contact KANGS

The expert lawyers at KANGS are available to assist you. We can arrange initial consultations in person, by video call or telephone.

Please contact one of our experts listed below or contact us at:

E: info@kangssolicitors.co.uk
T: 0333 370 4333

What KANGS can help you with?

We are uniquely placed to assist clients in FCA investigations due to our experience in the niche areas required to successfully navigate such cases including regulatory, white collar crime, insolvency and financial restraint proceedings.

We assist clients with:

Representation at Formal Interviews
Dawn Raids and Premises Searches
Financial Restraint Orders
Preparing written representations to the FCA
Response to Warning Notices, Decision Notices & Final Notices issued by the FCA
Representation before the Regulatory Decisions Committee (RDC) of the FCA
Appeals to the Upper Tribunal
Defending Winding Up Petitions & Injunctions issued by the FCA
Representation in Insider Trading and Market Manipulation investigations

What triggers may initiate a FCA Regulatory investigation?

There is a plethora of reasons why the FCA may initiate an investigation, including:

Reports of misconduct or unfair treatment from consumers.
Information provided by insiders about regulatory breaches.
Market intelligence indicating unusual or suspicious market activities.
Routine regulatory audits and inspections.
Adverse media coverage about a firm or individual.
Information sharing with other national or international regulatory bodies.

Regardless of the reason for the FCA investigation, it is crucial to seek immediate legal advice as soon as you become aware of it. Our team of solicitors is ready to assist you.

Who can the FCA investigate?

The FCA can use its powers to investigate and undertake enforcement actions or initiate regulatory or criminal proceedings against both regulated and unregulated individuals and companies. It is responsible for overseeing the conduct of the financial market companies and individuals in the UK. Investigations and enforcement can happen whenever the FCA deems it necessary.

The main types of companies and individuals that the FCA will investigate are:

Banks
Investment Companies
Insurance Companies
Financial Advisors and Intermediaries
Trading Platforms and Exchanges
Consumer Credit Companies

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