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Professional Defence Solicitors for Independent Financial Advisors
If you are facing an investigation or prosecution by the Financial Conduct Authority (FCA), our professional defence solicitors are experts in building a robust defence.
Any accusations of regulatory breaches or criminal behaviour can be incredibly damaging for those involved, so it is important you seek expert legal help from the moment an allegation is made. We have years of experience in helping independent financial advisors with preparation for interviews, responding to requests and representation during investigations, hearings and trials.
If your matter is urgent, use our 24-hour legal helpline 0800 804 8186 to access expert legal advice whenever you need it.
How JMW Can Help
The FCA is responsible for investigating and prosecuting those suspected of committing financial misconduct, including:
- Insider dealing
- Market abuse
- Product mis-selling
- Market fixing
- Breaches of FCA principles
- Failure to comply with FCA regulations
Our expert professional defence solicitors have handled many cases involving the FCA, so we have the experience to provide you with a strong case against allegations of professional misconduct or criminal activity. We will do our utmost to secure you the best possible outcome.
What penalties can be imposed on independent financial advisors?
The FCA’s powers are far-reaching, including criminal, civil and regulatory sanctions. Actions the regulatory body can take include:
- Prohibiting independent advisors from carrying on regulated activities
- Suspending independent advisors from undertaking regulated activities
- Issuing fines against independent advisors who breach FCA rules or commit market abuse
- Making public announcements about disciplinary action and publishing details of warning, decision and final notices
- Applying to the courts for injunctions, restitution orders, winding up and other insolvency orders
- Bringing criminal prosecutions for cases involving insider dealing, and unauthorised or false claims
- Issuing warnings and alerts about unauthorised independent advisors and requesting the deactivation of associated websites
- For more information on the penalties enforced by the FCA, visit the FCA website.
Talk to Us
If you are under investigation by, or facing prosecution from, the FCA, our solicitors are here to help you. Contact us today by calling 0800 652 5559, or fill in our online enquiry form and we will get back to you as soon as possible.