FSA / FCA Matters
The ever-increasing dominance of the FCA and the industry’s fear of reprisals for any perceived regulatory breach 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
- Representation on internal disciplinary and compliance matters
- Involvement in FCA investigations of potential compliance breaches
- Liaised with other advisors on potential criminal investigations
Click below for the Kervin & Barnes:
If you have an FSA / FCA related query and would like to speak on a confidential basis to one of our solicitors, please call us on 0203 178 5361.