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FSA Matters

The ever increasing dominance of the FSA and the industry’s fear of reprisals for any perceived regulatory breach has resulted in a substantial increase in FSA related disciplinaries and dismissals.

We have successfully pursued unfair/wrongful dismissal claims where FSA compliance issues were central to the dismissals. Our experience also includes:

• Advising on FSA related disciplinaries and dismissals;
• Drafting initial Long Form A applications;
• Advising on Form C issues;
• Negotiating Form C wording with employers;
• Representations to the FSA on Form C and Form A approvals;
• Representation on internal disciplinary and compliance matters;
• Involvement in FSA investigations of potential compliance breaches; and
• Liaised with other advisors on potential criminal investigations.

Click below for the Kervin & Barnes:

Guide to the Approved Person Regime.

Overview of the FSA Remuneration Code.

If you have an FSA related query you would like to contact us to speak to one of our solicitors about on a confidential basis, please call us on 0203 178 5361.

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