There is a wide range of punitive sanctions that the FCA is entitled to impose, including:
We represent clients across the full spectrum of FCA investigation. Our lawyers have represented bankers facing regulatory sanctions for breach of rules and traders, directors, Chief Financial Officers and companies who have been charged and faced trial in respect of serious market abuse.
In common with investigations conducted by HMRC and the SFO we recommend that we are consulted at the earliest possible stage in any FCA investigation. Early instruction allows us to assess the extent of the allegations and take steps to avoid the matters being escalated to suspension, withdrawal of authorisation or prosecution. In the event that matters do proceed towards the imposition of sanction we have the skills and expertise to provide the most thorough support and advice.