Regulatory

We assist regulated firms who are subject to investigation or disciplinary action by their regulator. We have acted for:

• Financial Advisers in connection with Financial Conduct Authority (FCA) supervision, investigations or enforcement action. We have regular dealings with the relevant FCA teams – most recently we are acting for a number of firms under investigation in relation to their Defined Benefit pension transfer activity. We have been able to resolve many investigations and/or enforcement actions with no or limited impact upon the firm and/or individuals.
• Financial Services Firms who are subject to similar investigation and/or regulatory action by the Prudential Regulation Authority (PRA).
• Solicitors in connection with investigations by the Solicitors Regulatory Authority (SRA) into alleged breaches of SRA Standards and Regulations.
• Insurers and brokers who are subject to action by the FCA or by Lloyds of London in respect of alleged Handbook or rule breaches.
• Accountants in connection with supervisory action taken by the relevant chartered body, including the Institute of Chartered Accountants in England & Wales (ICAEW)