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FCA Enforcement and Market Investigations experience

  • advising individual traders of an international investment firm relating to alleged serious breaches of the code of conduct for approved persons and related criminal investigation by City of London Police
  • representing an FCA authorised firm in a complex multi-party enforcement investigation relating to allegations of mis-selling and breaches of the FCA’s rules on financial promotions
  • advising numerous authorised firms and listed companies on their internal investigations into alleged insider dealing and market abuse and s. 397 FSMA offences, including reporting to the FCA
  • advised a listed group in relation to enquiries into potential breaches of the code of market conduct (MAR) and listing rules
  • advising several AIM companies and their individual board members on responses to investigation by the AIM regulation team

Recent news, articles and deals:

FCA likely to bare its teeth in 2017, despite quiet 2016 for finesmore


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Contact

tel: +44 (0) 20 7628 2000
10 Finsbury Square, London, EC2A 1AF
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Who should I contact?

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Peter Wright
Partner
Direct dial: +44 (0)20 7614 2680
pwright@foxwilliams.com

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James Carlton
Partner
Direct dial: +44 (0)20 7614 2634
jcarlton@foxwilliams.com

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Sona Ganatra
Partner
Direct dial: +44 (0)20 7614 2544
sganatra@foxwilliams.com


Accreditations

  • Top Ranked Chambers UK 2014 - Leading Firm
  • Ranked in Chambers Europe 2013 - Leading Individual
  • Ranked in Chambers Global 2014 - Leading Firm
  • Legal 500 - Leading Firm
  • The Lawyer UK 200 - Listed Firm
  • The Law Society Excellence Awards 2012 - Shortlisted
  • Investors in People - Bronze