2 Bedford Row

Chambers have a team with expertise in Financial Services law and practice and offer advice and representation in relation to investigations, meetings of the Regulatory Decisions Committee appeals to the Upper Tribunal and criminal prosecutions brought under the provisions of the Financial Services legislation.

Members have represented clients before the Regulations Decisions Committee with some success and have negotiated settlements with the FSA to the advantage of their clients.

In addition, our members have been sought out for advice relating to the FSA's investigatory powers, the FSA's powers to require attendance for interview and the compulsory answering of questions. 

Recent cases in which members have been instructed include on the Regulatory arena, FSA v. Sternfors (see www.fsa.gov.uk/pubs/final/alexis_stenfors.pdf) and on the criminal side various cases of insdier dealing.

Our experience includes advice and/or representation in the following areas:

• Insider Dealing
• Market Abuse
• Breaches of the FSA COB
• Conduct of business in breach of the General Prohibition in Section 19 FSMA 2000
• The unauthorised accepting of deposits in the course of business
• Boiler Room activity
• Certification Proceedings for non-compliance with FSA investigations
  
• Compelled Interviews, Interviews Under Caution, Voluntary Interviews
• Representation at the Regulatory Decisions Committee of the FSA
• Unauthorised Management of Investments
• Criminal Prosecutions brought by the FSA