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Financial Conduct Authority (FCA) Investigations and Enforcement

Bivonas Law is one of the leading white collar and financial services regulatory litigation practices in the City of London.

The FCA has the power to investigate individuals and companies for breaching the FCA’s Principles for Businesses and Conduct Rules. Bivonas Law has extensive experience acting for individuals and corporate clients in relation to FCA regulatory investigations, from the investigation stage through to the Regulatory Decision Committee and Appeal stages.

The FCA also has the power to investigate and prosecute criminal offences relating to regulated activities. The criminal offences cover a range of misconduct including:

  • Insider dealing
  • Misleading statements and practices
  • Conducting a regulated activity without authorisation from the FCA
  • Unlawful financial promotions

The FCA will sometimes take both civil and criminal action. Bivonas Law has the necessary experience to deal with the regulatory and criminal proceedings in parallel.

Bivonas Law represents several individuals in recent high profile regulatory and/or criminal investigations involving alleged rate manipulation including the foreign exchange markets (FX Trading), LIBOR, EURIBOR, BBSW and other benchmarks.

Bivonas Law also advises individuals and financial institutions in relation to obtaining their approved persons status.  Bivonas Law currently acts for a number of individuals who have faced authorisation issues after they have been involved in an FCA regulatory investigation.

Bivonas Law is currently advising senior managers of banks on their responsibilities under the Senior Managers and Certification Regime.

We can help you with:

  • Regulatory investigations and enforcement
  • Criminal investigations and prosecutions
  • Authorisation issues

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