Over the years, we have represented individuals involved in regulatory, compliance and professional disciplinary matters to great effect. If you need reliable, professional advice on regulatory matters, call us now.
Regulatory Lawyers London
Largely because of Jeffrey Lewis’s City background we have a long history of representing individuals facing such proceedings brought by FCA/IMRO/BERR. We advise upon compliance on regulatory issues, at investigation committee stage and advice and representation at Professional tribunals.
That experience has extended to include the representation of solicitors, doctors, teachers and accountants over the years to great success.
The FCA have new enforcement powers to use in pursuing those suspected of financial wrongdoing. These powers are wide ranging. If you are the subject of an FCA investigation, contact us without delay.
Regulatory and Business Solicitors London
It is vital that if you are facing such an investigation or if you are concerned that your company’s internal safeguards may NOT pass muster,that you instruct lawyers with genuine hands-on experience. Jeffrey Lewis spent years in the City as an investment analyst and counts many City professionals as former colleagues and clients. He knows how the City institutions work and he has defended such investigations for years, whether they are regulatory or criminal proceedings.
He can advise upon the following:
1. Breaches of FCAs principles for business and approved persons
2. Unauthorised collective schemes
3. Mis- selling
4. FCA interviews
5. Unauthorised trading
6. Market abuse
7. Market misconduct
8. Hearings before the RDC (Regulatory Decisions Committee) / Financial Services and Markets Tribunal
9. “Boiler room” frauds
10. Insider dealing
11. Money laundering
12. Transaction reporting issues
13. Asset restraint
14. Dawn raids /search and seizure
Contact our UK Regulatory and Compliance Solicitors
For further information or to speak to our solicitors please telephone us on 020 7387 2032, complete our online enquiry form or contact Jeffrey Lewis, Siobhain Egan, Miles Herman or Keith Wood.