FSA / FCA Matters

The ever-increasing dominance of the FCA and the industry’s fear of reprisals for any perceived regulatory breach – along with broad and evolving regulatory requirements – has resulted in a substantial increase in FCA-related disciplinaries and dismissals.

We have successfully pursued unfair/wrongful dismissal claims where FCA compliance issues were central to the dismissals.

Our experience also includes:

• Advising on FCA-related disciplinaries and dismissals
• Drafting initial Long Form A applications
• Advising on Form C issues
• Negotiating Form C wording with employers
• Representations to the FCA on Form C and Form A approvals
• Advising on internal disciplinary and compliance matters
• Involvement in FCA investigations of potential compliance breaches
• Liaising with other advisers on potential criminal investigations

Click below for the Kervin & Barnes:

FSA / FCA and Employment Issues Guide

FSA /FCA Remuneration Code Guide

If you have an FSA / FCA related query and would like to speak on a confidential basis to one of our solicitors, please call us on 0203 178 5360 or email info@kervinandbarnes.com.