Scarmans

Financial Services Regulatory Enforcement & Criminal Investigations

The Financial Services sector is typified by a complex and evolving system of regulation, and we appreciate how this places enormous pressures on our business clients.

Therefore, we understand their demand for rapid commercial and practical advice. Our Financial Services lawyers can provide you with expert advice across a broad range of practice areas including banking, corporate, insurance, tax, commercial disputes, pensions and regulatory.

We have particular expertise in investigations and prosecutions by the The Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).
Our areas of expertise includes:

Investigations into breaches of the FCA/PRA principles and rules;
Assisting with compulsory notices, disclosure and self-reporting;
Regulatory proceedings, including settlement negotiations; warning and decision notices;
Representation at Regulatory Decisions Committee and Upper Tribunal hearings;
Insider dealing and market abuse;
Breaches (civil and criminal) involving investment schemes;
Enquiries into mis-selling; system issues; Senior Managers Regime (SMR);
Regulatory approval
 

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10 Lower Thames Street, London, EC3R 6AF
T: 0203 976 2452
E: email@scarmans.co.uk