Financial Conduct Authority

Financial Conduct Authority
Legally reviewed by: Laura Smith

If you or your firm is under investigation by the Financial Conduct Authority, benefit from Cartwright King’s experience of advising and defending firms or individuals facing FCA enforcement action. Financial Conduct Authority investigations can be disruptive and stressful, which is why we’re committed to protecting your interests from the outset.

Don’t delay, get in touch with a specialist Cartwright King FCA Investigation Lawyer now, for immediate advice.

How Cartwright King’s FCA Investigation Solicitors Can Help

Cartwright King offers fast, efficient and effective legal advice when you’re faced with an FCA investigation. A quick response is crucial to your case to minimise disruption and to ensure that the FCA follows correct protocols when investigating you. 

Our specialist solicitors scrutinise the evidence against you, in detail,  and monitor the investigation to ensure that you’re treated fairly.  Here’s how we can help you:

  • Draft written responses to the FCA on your behalf
  • Assist you with providing relevant documents and representing you at interviews under caution
  • Make representations following preliminary hearings
  • Advice and guidance concerning the resolution process
  • Assistance before the Regulatory Decisions Committee and/or the upper tribunal
  • Making representations in relation to warning notices
  • Action following decision notices
  • Submitting appeal applications
  • Issues relating to the FCA publishing information about your firm regarding the matter
  • Advising in relation to investigations by the FCA’s Unauthorised Business Department
  • Interviews under caution

Speak to a Specialist Solicitor Now

If you suspect that you are going to be investigated, or you are already under investigation by the FCA, get in touch with a specialist Cartwright King FCA Investigation Solicitor immediately.

There is no substitute for speaking to one of our specialist solicitors to get the right advice, ensuring that you are on the front foot when facing an investigation. 

For immediate action, call us or email us for an initial discussion. 

The discussion is completely informal and confidential, and is an opportunity for us to:

  • Get to know you 
  • Understand your situation
  • Advise you on legal fees
  • Agree how you want to proceed

Why Choose Cartwright King FCA Investigation Solicitors?

Cartwright King is a high-calibre, criminal defence law firm. 70% of our cases involve defending against criminal charges, including financial crimes. 

Our reputation is built on successfully securing the acquittal of clients accused of criminal activity. We’re trusted, resourceful  and calm under pressure, giving you defence counsel that you can count on. 

We listen, we understand and we care about what happens to you or your business. That’s why we offer sound, reliable legal advice to ensure that you understand your rights when you’re under investigation. 

Working with a specialist Cartwright King solicitor empowers you to protect your interests. We know that FCA investigations can be disruptive and potentially tarnish your reputation. We will do everything we can to protect you or your business and clear you of wrongdoing or minimise any action against you.

We’re committed to defending your legal rights and ensuring that you’re treated fairly and with respect throughout your case. When you need us most, we’ll be there to offer sound, sensible legal advice and sure guidance.  

We’re a trusted, resourceful Legal 500 top tier law firm with specialist solicitors that are calm under pressure, giving you defence counsel that you can count on.

We're here for you.

Frequently asked questions.

What does an FCA investigation involve?

An FCA investigation takes place when there are suspicions of financial misconduct by an individual or a business. Any investigation aims to determine the full facts so that the FCA can make a decision on whether to take any action against you. 

The FCA will determine if any misconduct has occurred by assessing the work carried out by its Market Oversight, Supervision, Authorisation and Competition Divisions, and financial crime, intelligence and whistleblowing teams.

What action can the FCA take against me or my business?

The FCA’s enforcement powers include:

  • Issuing penalties against individuals or businesses
  • Making a public statement about any investigation against you
  • Taking disciplinary action
  • Starting criminal proceedings
  • Withdrawing a firm’s authorisation
  • Prohibiting individuals from carrying on regulated activities
  • Suspending firms and individuals from undertaking regulated activities

What's the maximum fine the FCA can impose?

FCA fines can vary depending on the severity of any misconduct. In the 2020 calendar year, FCA fines amounted to more than £150 million, the highest of which was a fine of over £64 million against one business.

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