Legal 500 Leading Firm 2026Â Â /Â The Time Best Law Firms 2026Â /Â 40+ Years of Expert Legal Practice in London
Legal 500 Leading Firm 2026Â Â /Â The Time Best Law Firms 2026Â /Â 40+ Years of Expert Legal Practice in London
Recognised as a Legal 500 Leading Firm 2026 and included in The Times Best Law Firms 2026, Lewis Nedas Law advises individuals, company directors and regulated firms facing Financial Conduct Authority (FCA) investigations, enforcement action and criminal prosecutions throughout London and England & Wales.
If you have received correspondence from the FCA, been required to produce documents, invited to attend a compulsory interview or become the subject of an FCA enforcement investigation, obtaining specialist legal advice at the earliest opportunity is essential. Contact our solicitors on +44 20 7387 2032 or complete our online enquiry form for confidential legal advice.
Call +44 20 7387 2032 Make a Confidential EnquiryFinancial Conduct Authority investigations are often complex, document-intensive and commercially sensitive. They may involve regulatory enforcement, civil penalties or criminal proceedings, depending on the nature of the allegations.
An FCA investigation can have significant consequences for your career, regulatory status, professional reputation and business operations. Many cases involve parallel investigations by other agencies, including the Serious Fraud Office (SFO), HM Revenue & Customs (HMRC), the National Crime Agency (NCA) or overseas regulators.
Our solicitors provide strategic legal advice throughout every stage of an FCA investigation, from the first regulatory enquiry through to interviews, enforcement proceedings, Upper Tribunal appeals and, where necessary, criminal prosecution.
Lewis Nedas Law is recognised for its work in financial crime, regulatory investigations and complex criminal defence. Our credentials include:
Recognised as a Legal 500 Leading Firm 2026
Included in The Times Best Law Firms 2026
Partner-led legal representation
More than 40 years' experience advising individuals and businesses facing regulatory investigations
Representation before the FCA, Regulatory Decisions Committee (RDC), Upper Tribunal and criminal courts
Close collaboration with leading King's Counsel, forensic accountants and financial market experts
A distinguishing feature of our practice is the experience of Jeffrey Lewis, who worked in the City as an investment analyst before qualifying as a solicitor. His understanding of financial markets, commercial practice and regulatory expectations enables him to provide practical legal advice to professionals working within the financial services sector.
The FCA has extensive statutory powers to investigate suspected regulatory breaches and financial misconduct. Investigations may involve:
Compulsory requests for information and documents
Interviews under statutory powers
Skilled person reviews
Search warrants and dawn raids
Digital evidence
Trading records
Internal compliance reviews
Cooperation with domestic and international regulators
The decisions made during the early stages of an investigation can have a significant impact on its outcome. Early legal advice allows your solicitor to protect your legal position and manage communications with the regulator.
Our solicitors advise clients facing allegations involving:
Insider dealing
Market abuse
Market manipulation
Financial crime
Money laundering
Regulatory reporting failures
Systems and controls failures
Financial promotions
Senior Managers & Certification Regime (SMCR) investigations
Consumer protection breaches
Authorisation and permissions issues
We advise both individuals and regulated firms across a broad range of financial services sectors.
Every FCA investigation presents different legal and commercial challenges depending on the sector involved. We regularly advise clients working in:
Investigations concerning governance, affordability assessments, customer treatment, conduct rules and systems and controls.
Advice relating to market abuse, insider dealing, conflicts of interest, disclosure obligations and trading activity.
Representation during investigations involving trading activity, market manipulation, communications and regulatory reporting.
Advice for fintech businesses and firms operating within developing regulatory frameworks, including financial promotions, anti-money laundering obligations and governance.
Representation concerning suitability, disclosure, historic advice and regulatory compliance.
Advice for regulated firms facing allegations concerning customer due diligence, suspicious activity reporting, governance and financial crime controls.
Not every FCA investigation results in criminal proceedings. The FCA may instead pursue regulatory enforcement through financial penalties, public censures, Prohibition Orders, variation or cancellation of permissions, proceedings before the Regulatory Decisions Committee and appeals to the Upper Tribunal.
Our solicitors advise clients throughout these proceedings, preparing detailed representations and challenging enforcement decisions where appropriate.
Certain FCA investigations may result in criminal prosecution. These can include allegations involving insider dealing, market manipulation, fraud, false accounting and money laundering.
Where criminal proceedings arise, our financial crime team provides comprehensive representation throughout police investigations, court proceedings and appeals.
Lewis Nedas Law has extensive experience advising clients involved in complex FCA investigations and financial crime proceedings. Our work includes representing company directors, senior executives, investment professionals, traders, brokers, financial advisers, regulated firms and individuals responding to FCA investigations.
Our specialist FCA investigation team includes Jeffrey Lewis, Miles Herman, Keith Wood and Siobhain Egan, all of whom have substantial experience advising clients facing FCA investigations, Regulatory Decisions Committee proceedings, Upper Tribunal appeals and complex financial crime allegations.
If you receive correspondence from the FCA:
Obtain specialist legal advice immediately
Preserve relevant documents and electronic records
Do not ignore statutory notices or deadlines
Seek legal advice before attending any interview
Avoid discussing the investigation with colleagues or third parties without legal advice
Early legal advice enables your solicitor to assess the investigation, explain your legal obligations and develop an appropriate strategy.
Contact an FCA investigation solicitor before responding to the regulator, producing documents or attending any interview. Early advice helps protect your legal and regulatory position.
Your solicitor will assess whether the matter concerns regulatory enforcement, criminal allegations, SMCR issues, market abuse, AML compliance or another area of FCA scrutiny.
FCA notices may require documents, information or attendance at interview. Your solicitor will explain your obligations, deadlines, privilege issues and risks of non-compliance.
Keep emails, trading records, compliance files, policies, messages, board papers and internal communications. Do not delete, alter or destroy relevant material.
Your legal team will review available disclosure, take instructions and advise on the best approach before any compulsory or voluntary FCA interview.
FCA cases often involve complex financial, trading, compliance and communications evidence. Your solicitor may work with forensic accountants or financial market experts.
Some investigations involve the SFO, HMRC, NCA, overseas regulators or professional bodies. Your solicitor will coordinate strategy across related proceedings.
Where appropriate, your solicitor may submit detailed written representations challenging the evidence, proposed findings or enforcement action.
If the matter proceeds to the Regulatory Decisions Committee or Upper Tribunal, your legal team will prepare evidence, submissions and strategy for challenge.
FCA investigations can affect authorisation, approved status, employment, business operations and reputation. Your solicitor will advise on these wider risks throughout.
Yes. The FCA has powers to bring criminal proceedings for certain financial offences.
Your legal obligations depend on the statutory powers being exercised. Specialist legal advice should be obtained before responding.
Yes. The FCA may seek prohibition orders or other regulatory sanctions in appropriate cases.
Yes. We advise both regulated firms and individuals throughout FCA investigations.
Yes. We represent clients across London and throughout England and Wales.
If you are facing an FCA investigation, enforcement proceedings or allegations of financial misconduct, obtaining specialist legal advice at the earliest opportunity can make a significant difference.
Lewis Nedas Law is recognised as a Legal 500 Leading Firm 2026 and included in The Times Best Law Firms 2026. Our experienced financial crime solicitors advise regulated firms, company directors and financial services professionals throughout London and across England and Wales.
Depending on the nature of your matter, your case may be handled by Jeffrey Lewis, Miles Herman, Keith Wood or Siobhain Egan, each of whom has extensive experience in financial regulation, FCA investigations and complex financial crime proceedings.
To speak with a member of our specialist team, call +44 20 7387 2032 or complete our online enquiry form to arrange a confidential consultation.
Call +44 20 7387 2032 Arrange a Confidential Consultation