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FCA Investigations & Enforcement

Peters & Peters regularly advises firms and individuals subject to investigation by the Financial Conduct Authority. Its “highly respected group of lawyers” is renowned for achieving outstanding results for those alleged to have committed insider dealing or market abuse. Chambers UK 2017 ranks us in Band 1 for both contentious financial services and financial crime (individuals).

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The FCA has adopted an increasingly vigorous approach to regulation in recent years. Its strategy of “credible deterrence” has also led to more criminal investigations and prosecutions. Peters & Peters is able to advise in relation to both criminal and regulatory contentious FCA matters. Our expertise includes:

  • Investigations into breaches of the FCA’s principles and rules
  • Representation at interview
  • Assisting with disclosure pursuant to compulsory notices
  • Regulatory proceedings, including settlement negotiations; warning and decision notices and RDC and Upper Tribunal hearings
  • Insider dealing and market abuse
  • Perimeter offences (carrying on regulated activities without the necessary authorisation or approval)
  • Collective Investment Schemes and Unauthorised Collective Investment Schemes
  • Mis-selling
  • Systems and controls issues
  • Senior Managers Regime
  • Approved person applications and the fit and proper test
  • Self-reporting

Our Business Crime team contains former FCA enforcement lawyers, enhancing our ability to provide the highest quality advice based on their understanding of the FCA’s approach to regulation. We combine a robust and tenacious approach to enforcement proceedings with an understanding of the need to be open and co-operative with the regulator. This has enabled us to achieve excellent outcomes for our clients including no further action being taken in relation to insider dealing and other criminal cases, the FCA pursuing regulatory rather than criminal proceedings and the minimisation of penalties and prohibitions.

We have a broad range of clients, including banks, hedge funds, insurance companies, peer-to-peer lenders, pay-day loan companies, senior executives, traders, brokers and independent financial advisors (IFAs).

We also provide advisory services for firms wishing to review and enhance their Corporate Compliance programmes, particularly in relation to systems and controls to prevent financial crime.

Key Contacts

Hannah Laming

Hannah Laming, Partner

Email Hannah

+44 (0)20 7822 7752

Monty Raphael QC

Monty Raphael QC, Special Counsel

Email Monty

+44 (0)20 7822 7777

Neil Swift

Neil Swift, Partner

Email Neil

+44 (0)20 7822 7763

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