FSA Enforcement & Discipline
The FSA is a powerful regulator with extensive investigation powers and disciplinary powers. The Enforcement Division of the FSA is heavily resourced with specialist lawyers whose role is to successfully bring enforcement actions against regulated firms and approved persons, as well as enforce the perimeter against firms that breach the general prohibition.
Our lawyers specialise in regulatory defence and can advise and represent firms and individuals on how best to handle FSA investigations and disciplinary actions brought by the FSA.
Our areas of specialism include:
- Representation at FSA interviews
- Advice on how to handle an FSA enforcement visit and skilled persons
- Advising on FSA enforcement powers and procedures
- Representation before the Regulatory Decisions Committee
- Representation before the Upper Tribunal
- Handling contested applications for authorisation or in connection with refusal of approved person status
- Advice on fitness and propriety issues
- Market abuse and insider trading issues
- Appeals
