FSA Enforcement and 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 Financial Services and Markets 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
The Financial Services & Markets Practice operates out of
the firm's London and Exeter offices and services clients throughout
the UK.
The Financial Services & Markets Practice – our
enforcement specialists
Click on name for a member profile
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