Manchester Solicitors delivering exceptional legal services at an affordable price.

Manchester & London Solicitors

[language-switcher]

Regulatory & Disciplinary

FCA Investigations

Financial Conduct Authority Disputes Solicitors & Lawyers in Manchester and London

Our FCA investigations solicitors have a wealth of experience with dealing with the Financial Conduct Authority and can offer their expert advice and assistance when you are under investigation.

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 FCA Investigations Solicitors

If you would like to enquire about any matters regarding a Financial Conduct Authority investigation, 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 FCA investigations Solicitors on 0330 127 8888 for a no obligation discussion.

Monarch Solicitors are a leading law firm in the UK with offices in Manchester and London.

We are also able to leverage an international network spanning across Hong Kong, Turkey and Dubai to provide seamless assistance with cross-border matters relating to FCA investigations.

Contact Us Today

By submitting the form you agree to our Privacy Policy and Privacy Notice
Members of
Monarch Solicitors Brand Stripes

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.

Most of the time the FCA won’t announce who or why they are investigating, also the FCA won’t make any of the findings of the investigation public either. 

Solicitors you can trust

Client satisfaction is paramount to use so we appreciate your feedback as it allows us to continually improve the service we provide 

Austin Kemp
Austin Kemp
Company
Read More
"Monarch Solicitors provide exceptional, skilled attorney who handles client's cases with compassion and understanding. I recommend her highly!"
Peter Istrate
Peter Istrate
Moxels Digital Agency
Read More
"Shazda, not just that advised me for the best solution but she went beyond in advising for future needs that we may be having at our creative agency, so much that we decided to work with them exclusively. I highly recommend!"
Katie Sharp
Katie Sharp
Company
Read More
"Used Monarch for a freehold Purchase. Excellent service was kept informed of the process. Always willing to have a chat if needed. Thanks in particular to Nasira for her help would definitely recommend"
Previous
Next
Monarch Solicitors Google Reviews

Contact Us

If you need legal advice, call our expert solicitors or fill in our enquiry form and we will get back to you as soon as possible.
By submitting the form you agree to our Privacy Policy and Privacy Notice

Request a call back

Please provide us with your details and we will call you back.

subscribe to our newsletter

By signing up to our newsletter you agree to Monarch Solicitors’ Privacy Policy Terms