FCA Investigation Solicitor Birmingham – Market Abuse & Financial Crime Defence
The Financial Conduct Authority (FCA) investigates individuals and firms for insider dealing, market manipulation, unauthorised business, and money laundering. FCA interviews under section 171 FSMA are compulsory — refusal is a criminal offence. The consequences can include unlimited fines, imprisonment, and prohibition from financial services. Call now on 07525 802931.
FCA powers
- Compelled interviews (s171 FSMA)
- Search warrants (s176 FSMA)
- Production orders
- Freezing assets
- Prohibition notices and fines
Why FCA interviews are high risk
FCA investigators can compel you to attend an interview and answer questions. Refusal is a criminal offence. However, you can still receive legal advice before and during the interview. David Roy ensures you understand the scope of the investigation, what documents to provide, and how to avoid self-incrimination while complying with your legal duties.
Investigation areas
- Insider dealing
- Market manipulation (LIBOR, FX, benchmark rates)
- Unauthorised financial business
- Money laundering breaches
- Misleading statements and market abuse
FCA investigation? Call before you respond.
David offers a confidential initial discussion for individuals and firms under FCA investigation.