FCA - regulatory and enforcement
Our recent Financial Conduct Authority (formerly FSA) experience includes:
- Advising stockbrokers accused of mis-selling and other breaches of FSA regulations and representing them in a consequent FSA regulation and before the Regulatory Decisions Committee.
- Advising a firm in respect of a dawn raid by the FSA and attempted seizure of a server and dealing with allegations of contempt of court.
- Advising firms and individuals on FSA enforcement proceedings.
- Advising IFAs and other authorised firms on general regulatory matters.
Advising an authorised broker in connection with an FCA market abuse investigation into a possible share support scheme at a spread betting company.