FSA / FCA Matters
The ever-increasing dominance of the FCA and the industry’s fear of reprisals for any perceived regulatory breach – along with the growing breadth of regulatory requirements – has resulted in a substantial increase in FCA-related disciplinaries and dismissals.
We have successfully pursued unfair/wrongful dismissal claims where FCA compliance issues were central to the dismissals.
Our experience also includes:
- Advising on FCA-related disciplinaries and dismissals
- Drafting initial Long Form A applications
- Advising on Form C issues
- Negotiating Form C wording with employers
- Representations to the FCA on Form C and Form A approvals
- Advising on internal disciplinary and compliance matters
- Involvement in FCA investigations of potential compliance breaches
- Liaising with other advisers on potential criminal investigations
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