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Financial Conduct Authority (FCA) Investigations

The FCA regulate over 50,000 businesses in the UK. They continue to grow, as does their rulebook, ‘The Handbook’.

The FCA’s rules are vast and complex. Many businesses often unwittingly fall foul of the rules, which can result in an FCA investigation, possibly followed by formal enforcement action.

The FCA have extensive powers, from cancelling authorisation to huge fines. They can also pursue individuals within a business, such as senior managers.

I have represented many companies and individuals under scrutiny by the FCA with great results, which sometimes has been a misunderstanding or action of a rogue third party.

So, if you are facing issues with the FCA, you should get in touch.

Meeting

Related services

FCA Advice

ICO Investigations

Data Protection Advice

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