Getting advice on the FCA and PRA
Our specialist and highly experienced legal team can advise you on all contentious matters relating to the Financial Conduct Authority (FCA) or Prudential Regulatory Authority (PRA).
We advise across a range of issues including:
- how to handle the regulators,
- deciding whether you need to notify the FCA/PRA of an event,
- conducting an internal investigation, and
- defending you in an FCA/PRA Enforcement Investigation.
Our Corporate Crime, Investigations and Enforcement team includes specialist FCA enforcement lawyers, including Michael Ruck, ex-FCA Enforcement, and is headed by Barry Vitou.
Barry, Michael and the team have previously advised on various regulatory and criminal investigations, including insider dealing, Libor manipulation, FX, mis-selling, client money and data protection/security.
This team includes a number of senior individuals who were previously prosecutors or regulators.
Dealing with an investigation
We can give you the inside track on how the regulators operate and what they are thinking during the course of your dealings with them.
They will guide you through the pitfalls and obstacles you will encounter during an internal or Enforcement investigation. For more information on the process, view our FCA Enforcement Procedure guide (PDF).
Our Corporate Crime, Investigations and Enforcement team works closely with our FS non-contentious regulatory team headed by David Heffron.
David and his team advise on a wide range of financial services regulatory and compliance issues. They provide support during regulatory investigations regarding the applicable regulatory requirements and technical compliance criteria against which firms and individuals conduct will be assessed by the regulators.
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