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CRIMINAL DEFENCE LAWYERS
FINANCIAL CONDUCT AUTHORITY (FCA) INVESTIGATIONS SOLICITORS
Financial Conduct Authority (FCA) investigations can have serious consequences for both your personal and professional life.
Mission
Sanctions resulting from Financial Conduct Authority (FCA) investigations may also encompass imprisonment and fines. Engaging seasoned Financial Conduct Authority (FCA) investigations solicitors as soon as possible can significantly impact the outcome of your case. Specialised Financial Conduct Authority (FCA) investigations solicitors possess the requisite knowledge and expertise to potentially halt Financial Conduct Authority (FCA) investigations in their early stages, if feasible, and, if required, construct a robust defence against any prosecutions ensuing from an investigation.
What are Financial Conduct Authority (FCA) investigations?
The Financial Conduct Authority (FCA) serves as the conduct regulator for the UK's financial markets. It stands as an autonomous public entity accountable to both the Treasury and Parliament. Its mandate involves safeguarding consumers, preserving financial markets, and fostering competition. Its authority is delineated in the Financial Services and Markets Act 2000 (FSMA).
The FCA holds the authority to:
Establish financial services regulations
Initiate Financial Conduct Authority (FCA) investigations in instances where breaches of regulations are alleged
Enforce regulations through criminal and civil court proceedings, if necessary
Both individuals and businesses can become the focus of Financial Conduct Authority (FCA) investigations if accused of contravening the UK's financial codes of conduct.
When misconduct within the financial services sector, whether by entities or individuals, comes to light, the FCA has the jurisdiction to instigate criminal proceedings.
What do criminal Financial Conduct Authority (FCA) investigations entail?
Criminal Financial Conduct Authority (FCA) investigations may involve allegations concerning:
Money laundering
Insider dealing
Boiler room schemes
Market manipulation
Mis-selling of financial services
Collective investment schemes
Should there be evidence of these transgressions (or other criminal activities), the FCA will initiate criminal court proceedings. Typically, these matters would not be addressed through internal investigations.
Criminal prosecutions can lead to fines and custodial sentences for those found culpable.
If you receive notification that either you or your company is under FCA investigation, it is imperative to seek legal counsel promptly. This enables your solicitor to offer guidance and support throughout the investigation process and take proactive measures to potentially secure a non-criminal resolution.
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