0203 178 5361

FSA Regulation Advice

We offer FSA regulation advice from all aspects of FSA compliance, so please feel free to give us a call on 0203 178 5361. Alternatively, click here to contact us by another method.

As employment lawyers located in Mayfair and the City, and specialising in the financial services industry, we are regularly give FSA regulation advice in relation to dismissals relating to perceived or actual breaches of FSA regulations and principles. Financial services industry companies are increasingly unwilling to risk compliance issues with the FSA and take a very robust few of any potential breach of compliance. This can relate to a breach of internal systems or procedures, or imposed regulations by the FSA. Therefore expert FSA regulation advice is essential in today's turbulent marketplace.

Loss of approved person status will have a significant affect on finances and career prospects. Ideally we are instructed to assist with FSA regulation advice during the dismissal/disciplinary process. This allows us the maximum opportunity to influence the outcome of any process and/or achieve a more satisfactory termination. Ordinarily the main concern will be avoiding a qualified Form C withdrawal. Inevitably financial loss and associated compensation will also form part of the equation and will be part of the focus of any FSA regulation advice you receive from us.

If termination of employment has already occurred, our FSA regulation advice and assistance will, predominantly, be aimed at mitigating the damage with the FSA and future employers. This may include litigation for unfair dismissal where appropriate.

Our London based (West End and the City) solicitors have recently acted for a number of approved persons that have either been dismissed or faced dismissal for breach of FSA regulations and/or principles. Our FSA regulation advice has either managed to negotiate improved Form C wording, persuaded future employers to submit a Form A, conducted successful unfair dismissal litigation against the dismissing employer and/or made written representations to the FSA to accompany Form As.

We offer FSA regulation advice from all aspects of FSA compliance and therefore if your query is not mentioned above or you would like to dicuss your circumstances, please do not hesitate to contact us on 0203 178 5361.

If you'd prefer, click here to contact us by another method.

We have offices in both Mayfair and the City and would be happy to meet with you at either location to offer you FSA regulation advice.

• Privacy Policy
• Reg & Legal
• Site Map