Regulatory Matters

We advise employees on any regulatory responsibilities and standards. These may be the regime of a regulator such as the FCA, legislation such as the Conduct of Employment Agencies and Employment Businesses Regulations 2003, or the additional duties of a specific profession (Accountants, Lawyers etc).

Our recent experience includes:

  • Representing a trader through his internal disciplinary proceedings relating to breach of credit limits (and the FCA / FSA consequences)
  • Advising a teacher on her internal (and potential external) disciplinary proceedings for neglect of duties
  • Advising a senior executive on disciplinary proceedings resulting from an alleged fraud

If you would like more information on FCA (Financial Conduct Authority) related issues please click here.

If you have a query related to regulatory matters and would like to speak on a confidential basis to one of our solicitors, please call us on 0203 178 5360.