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Rapid Response Team: 0800 559 3500
Switchboard: +44 (0)203 947 1539

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Rapid Response Team: 0800 559 3500
Switchboard: +44 (0)203 947 1539
Rapid Response Team: 0800 559 3500
Switchboard: +44 (0)203 947 1539

Financial Conduct Authority (FCA) Investigations

As the regulator of the financial sector, the Financial Conduct Authority investigates companies and individuals. Those investigated must take the right steps to protect their assets and reputation.

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The Financial Conduct Authority (FCA) has a wide range of powers and a major role in regulating financial services and the financial markets.

It regulates 58,000 financial services firms and financial markets in the UK and investigates and penalises those that breach financial regulations. Banks, building societies and credit unions are regulated by the FCA, which also investigates mortgage lenders, pensions and insurance providers, electronic payment systems, fintech companies, finance and investment advisors and (from April 2019) claims management firms.

An FCA investigation is something that no corporate or senior business figure would welcome. But Rahman Ravelli is a market leader in the fields of FCA investigation, regulation and compliance; trusted and relied on by many major companies and individuals to provide expert legal representation. That representation is based on our in-depth knowledge and experience of how the FCA functions.

We challenge the FCA’s assumptions and protect a client’s interests, assets and reputation.

Challenging the FCA

Any major company, organisation or executive faced with an FCA investigation needs to be secure in the knowledge that they are being represented by those with the expertise to ensure their interests are being protected as strongly as possible. That is what we do.

We steer a course through the complexity, devise the most appropriate course of action and are on hand at all times to provide an immediate, and often innovative, response to any challenges presented by the FCA. We manage the problem and have the skills and speed of thought to gain the best results.

When the FCA is looking to pursue a criminal or civil penalty, we construct a robust, detailed defence for clients. We defend companies, organisations and senior business figures in the biggest and most complex, multinational criminal cases ever brought by the FCA. We did the same with its predecessor, the Financial Services Authority (FSA).

There are many ways that an individual’s or a firm’s conduct can come under FCA scrutiny. The FCA is opening increasing numbers of investigations and is looking to be more proactive. It expects senior management to be aware of risks and capable of devising and introducing appropriate preventative procedures.

At the first signs of an FCA investigation, it is important that a well-planned and properly-conducted internal investigation is carried out to assess the credibility of any allegations that have prompted the FCA’s interest. We have vast experience of carrying out such investigations.

UK legislation such as the Financial Services and Markets Act 2000 and European Union law, including the European Regulation on Market Abuse (MAR) and the Markets in Financial Instruments Directives (MiFID and MiFID II), have placed greater responsibility on those working in financial markets.

No one can afford to be unaware of these responsibilities. If they are, they need to seek advice immediately from an experienced FCA solicitor. As expert FCA solicitors, we understand the demands of the corporate world and the added pressure that an FCA investigation can bring.

The FCA exists to protect the integrity of the markets. Rahman Ravelli's team of highly experienced lawyers is here to protect your interests.

Specialist Team

Syedur Rahman C 09551 Syedur Rahman
+44 (0)203 910 4566
Niall Hearty C 07998 Niall Hearty
+44 (0)203 910 4565
Nicola Sharp C 09983 Nicola Sharp
+44 (0)203 910 4567
angelika 08780r lores Dr. Angelika Hellweger
Legal Director
+44 (0)203 597 9783
Fran Small Image Profile Page Francesca Cassidy-Taylor
Senior Associate
+44 (0)203 910 4560

Legal Articles

The FCA in 2024-25
Niall Hearty of Rahman Ravelli details the main aspects of the Financial Conduct Authority’s Business Plan 2024-25.

3 min read - Published Mar 2024
The FCA Seeks the Experiences of Politically Exposed Persons
Zulfi Meerza of Rahman Ravelli details the Financial Conduct Authority’s efforts to hear from those affected by the UK’s Politically Exposed Persons (PEPs) regime.

2 min read - Published Sept 2023
The Nationwide, Money Laundering and The FCA
The Nationwide’s money laundering prevention efforts are coming under Financial Conduct Authority scrutiny. Nicola Sharp of Rahman Ravelli considers the regulator’s efforts to tackle the problem.

1 min read - Published Jun 2023