Financial Services

Our barristers have represented clients before the Regulations Decisions Committee with success and have negotiated settlements with the FCA to the advantage of their clients.

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

Our barristers have expertise in financial services law and practice, 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.

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

• Insider dealing
• Market abuse
• Breaches of the FCA 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 FCA
• Unauthorised management of investments
• Criminal prosecutions brought by the FCA