FCA investigations demand specialist expertise, strategic judgement and an in-depth understanding of financial regulation and criminal enforcement.

Corker Binning advises individuals and businesses across the full spectrum of FCA regulatory, civil and criminal enforcement, from initial enquiries through to contested proceedings and trial. We understand the potential consequences for our clients’ careers, reputations and liberty, and the importance of acting decisively from the outset.

Our lawyers have extensive experience of the FCA’s investigative process, from initial fact-finding exercises and enquiries by the Market Conduct or Supervisory teams to compulsory information requests and interviews under caution conducted by the Enforcement team. Where we represent an employee of a regulated firm, we work with the firm and its lawyers where appropriate, while ensuring our client’s interests remain paramount.

At the outset, it may be unclear whether the FCA will pursue civil, regulatory or criminal enforcement. Our experience across these procedures enables us to develop a robust defence strategy that anticipates how a case may evolve. In civil proceedings, we have considerable expertise in negotiating settlements and contesting findings before the Regulatory Decisions Committee (RDC).

Our criminal enforcement experience includes advising individuals and businesses in significant FCA investigations and prosecutions involving institutional failings, including LIBOR and Forex, as well as cases relating to misleading statements, unauthorised business, fraud and money laundering.

Corker Binning has a strong track record in defending individuals facing insider dealing allegations. We have achieved successful outcomes in numerous cases, drawing on our in-depth knowledge of financial markets, trading activity and the complexities of FCA investigations. We analyse market information, trading patterns and questions of knowledge and intent, providing clear, strategic advice to protect clients’ positions and pursue the strongest possible defence.

Our experience also extends to market abuse investigations involving allegations of spoofing, layering, manipulative trading, wash trades and marking the close. We scrutinise order-book activity, orders, trades and market data to challenge the regulator’s interpretation of events and identify weaknesses in the evidence.

Where investigations extend beyond the UK, we work alongside lawyers in other jurisdictions, particularly the US, to coordinate defence strategies and protect clients’ interests in cross-border proceedings. We also advise on compulsory requests issued by the FCA in support of overseas investigations.