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Regulatory & Disciplinary

FCA Regulation

FCA Regulation

Financial Services and Markets Act 2000 regulates financial service activity. This includes;

  • Advising on investments;
  • Dealing in securities;
  • Advising on mortgages;
  • Insurance policies;
  • Banking;
  • Commodities;
  • Collective investment schemes.

If you carry on any regulatory activities without authorisation, you will be committing a criminal offence. Any agreement made will also be unenforceable.

The Financial Services and Markets Act 2000 also covers the regulation of market activities, with the remit to preserve integrity. It does this by allowing enforcement against individuals and firms with penalties both criminal and civil.

The promotion of investment activity without authorisation or approval is also prohibited under the Financial Services and Markets Act 2000. This includes invitations and communications made to investors and is a criminal offence.

Our team of expert solicitors can provide advice and representation for those under investigation. We can advise on what constitutes regulated activity, advise on the merits of any defences to allegation, and advise on the enforceability of contracts.

Contact our Regulatory Solicitors:

If you would like to enquire about any matters regarding regulatory issues, please complete our online contact form here or send an email to us at [email protected] and one of our solicitors shall call you back.

Alternatively, please call our regulatory solicitors on 0330 127 8888 for a no obligation discussion

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FAQ

Most frequent questions and answers

According to provisions made under the Financial Services and Markets Act (FSMA) 2000, financial activities have to be regulated by the Financial Conduct Authority. Any firm (whether a business, a not-for-profit or a sole trader) carrying out a regulated activity must be authorised or registered by us, unless they are exempt.

You will need to apply directly to the Financial Conduct Authority for authorisation. Because of the large number of firms applying for authorisation, we understand that it may take up to six months for your organisation to be authorised. Please remember that it is a criminal offence to give conduct any activity before your organisation is authorised.

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