Financial Services Authority (FSA) investigations

We regularly advise corporate entities, and regulated individuals under investigation by the Financial Services Authority (FSA). This advice normally relates to:

• Breaches of the FSA's principles
• Insider trading
• Market abuse
• Breaches of compliance

Services

Given the FSA’s increasing focus on regulatory and criminal investigations, our unrivalled experience in this area is often key to securing advantageous results for our corporate and individual clients. Our Business Crime team contains former FSA enforcement and supervisory lawyers, thereby enhancing our ability to provide the highest quality advice. It is not uncommon for such advice to encompass a global review of a corporation's regulatory obligations and risk exposure as our team specialises in both the contentious and non-contentious areas.

Highlight Cases

Many of our cases are high profile with significant consequences in other regulated markets worldwide.

• Acting for the first individual to be sanctioned for anti-money laundering compliance failures.
• Acting for a very senior, well known banker in an FSA insider dealing/market abuse investigation.