FCA Enforcement Proceedings & Regulatory Investigations - a practical guide
The aim of the material included in this section is to give practical guidance on the conduct of FCA enforcement proceedings & regulatory investigations.
The enforcement proceedings guide addresses the situation in which the FCA has instituted enforcement proceedings. Again we offer practical advice and aim to answer a number of the questions which often arise in this context.
If you have any specific issues in the context of regulatory proceeding or a regulatory investigation, please get in touch with your usual Linklaters contact. Whilst we have tried to be as comprehensive as possible with this section, any general guidance of this sort will need to be tailored in the light of specific circumstances.