Regulatory Law
Financial Advisers

We handle fitness to practice cases in relation to all of the regulatory bodies of the UK

Regulatory Law
Financial Advisers (Firms & Individuals)

We handle cases where independent financial advisers are being investigated by their regulatory body, the Financial Conduct Authority (FCA), and in some cases by the Prudential Regulation Authority (PRA).

The FCA Regulatory Process

Cases being considered for enforcement action are assessed against certain criteria. Any decision to formally investigate is taken by the FCA’s supervisory and enforcement divisions. Investigators are then appointed, and the firms and/or individuals are then notified of the investigation.

Where investigators determine that there is a case to answer and the case is not settled via executive settlement, then the matter is referred up to the Regulatory Decisions Committee (RDC).

If the RDC determines it is appropriate, it will send out a Warning Notice informing the firm or individual of the action they propose to take and why. At this stage, the firm or individual can make written representations to the RDC, and verbal representations at a meeting. The firm or individual also have the right to see the material relied upon by the RDC.

After completing its enquiries, the RDC then issues a Decision Notice which sets out the reasons for the action they have decided to take. Should the firm or individual not contest the matter, then this is followed by a Final Notice which sets out the action that will be taken. Nevertheless, should the firm or individual decide to contest the decision of the RDC, then they may refer the matter to the Upper Tribunal (Tax and Chancery Chamber). The Tribunal will consider the matter and normally reaches a decision following an oral hearing

Internal Disciplinary Proceedings

We also assist and represent financial advisers where they are the subject of internal disciplinary proceedings by their employer​

What To Do If Regulatory Proceedings Are Commenced Against You

Should internal disciplinary proceedings or FCA or PRA regulatory proceedings be commenced against you, then please either telephone us on 0333 301 0700, or complete our questionnaire.

Regulatory Law

Financial Advisers

We defend financial advisers in fitness to practice cases

Financial Advisers

Fitness to Practice Hearings

Representation Provided

Contact Us

Settlement Agreements

Should you have been offered a Settlement Agreement (which used to be known as Compromise Agreements) which you require independent legal advice upon, then please call one of our settlement agreement solicitors immediately on 0333 301 0700, or complete the contact us form below. We will then arrange an appointment for you with one of our settlement agreement solicitors to go through the Settlement Agreement.

What To Do If You Have A Case

Should you require help and assistance of any kind in relation to a fitness to practice matter before a regulatory body, please do not hesitate to contact our specialist fitness to practice solicitors.

Employment Law Solicitors
Contact Us

To contact us about your employment law matter, please complete the form below.  It will be assessed by a solicitor who will then contact you to discuss the issue. The solicitor appointed to contact you, will be a specialist in your type of employment law matter. 

This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.

The Employment Law Solicitors handle cases on behalf of clients throughout the country

Employment Law Solicitors Offices

Call Us

If you have an employment related legal issue, please call us now

contact us

How can we help?

Employment Law Solicitors Logo in White

Suite 167, Courthill House,
60 Water Lane,
Wilmslow, Cheshire.
SK9 5AJ

Employment Law Solicitors Logo Icon

This website uses cookies to ensure you get the best experience on our website.