Financial Conduct Authority

Specialist lawyers for FCA matters.

The Financial Conduct Authority (FCA) is the conduct regulator for over 58,000 financial services firms and financial markets in the UK.

Their strategic objectives are to protect consumers, protect financial markets and promote competition. 

We have specialist lawyers available to advise on the complex requirements of FCA compliance and their extensive Handbook.  We advise some clients on a retained monthly basis and others as and when required. 

The FCA also have extensive enforcement powers, which range from withdrawal of authorisation to substantial financial penalties for non-compliance.  They also prosecute individuals and firms through the criminal courts.

Our experts have extensive experience of dealing with FCA cases and successfully defending clients.