Investigations and enforcement actions
Regulatory investigations and enforcement actions can arise in a number of ways, and lead to a complex array of potential consequences.
We have extensive experience in the management of these situations and advising upon the potential regulatory breaches at the centre of them. We can assist you with:
- The proper management of an internal review of a potential breach
- The internal investigation of potential systemic issues
- Co-operating with the FSA in relation to a thematic review
- Co-operating with the FSA during a disciplinary investigation
- Responding to a warning notice
- Preparing to attend FSA investigation interviews
- Preparing to attend interviews under caution
- Responding to draft findings by the regulator
- Dealing with the clients concerned
- Dealing with compensation claims arising
- Responding to claims through the Financial Ombudsman Service
- Dealing with your insurers when under investigation
- Dealing with insurers in relation to compensation claims
- Dealing with the internal personnel issues
- The Approved Persons’ position
Our experience includes both internal investigations and the following FSA led investigations: the Pensions Miss-selling Review, the Split- Capital Investment Trust Review, Thematic Reviews, Client Asset investigations; Threshold Conditions investigations and investigations under criminal caution.
FREE initial enquiry
To discuss your legal needs, please call Marie Huntley on 020 3609 8764.
Simply outline the situation you're facing, and we'll tell you how we can help and what it will cost.
There's NO CHARGE for the initial conversation. That's right. It's completely free. Zilch. Nada.
By the way, our fees are often fixed or capped to help you budget, and we send invoices monthly so you can spread the cost.