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FCA Investigations

Compliance Investigation

The FCA expects authorised firms to maintain their compliance through having effective systems and controls in place. Those systems and controls should be sufficient to help a firm ensure that it is able to remain compliant throughout the time that it conducts its regulated activities.

Sometimes, firms are be unable to maintain their compliance and the FCA may become involved to try to resolve the issue. FCA investigations can be daunting, and any authorised person should take them seriously.

For those facing FCA investigation, it may help to understand the context in which the FCA operates. Some firm’s might be unaware, but the FCA has certain objectives and is accountable to HM Treasury, and through them, to parliament.

The FCA has one strategic objective and three operational objectives. These were set out in the Financial Services and Markets Act 2000.

Strategic objective:

  • Ensuring that the relevant markets function well;

Operational objectives:

  • To secure an appropriate degree of protection for consumers
  • To protect and enhance the integrity of the UK financial system
  • To promote effective competition in the interest of consumers

Where you are aware of non-compliance within your business, you should seek to remedy it without delay. FCA investigations should be prevented wherever possible. If you want to know more about how we can help you to maintain your compliance, please review our page here to learn more.

If your firm is currently facing an FCA investigation, you may want to seek the expertise of compliance consultants who can help you through this process.

We can help you by providing advice on how to handle the FCA’s inquiry, how to resolve the non-compliance that has led to the investigation and provide impartial, independent advice and support that helps you to make informed decisions about the best course of action through these difficult times.

Why Choose Scott Robert?

Scott Robert has been supporting firms through the FCA compliance process since 2008. In that time, we have helped hundreds of businesses to maintain their compliance and implement strategies to fix any systemic issues causing non-compliance.

We employ a team of compliance professionals who are both highly experienced and expertly skilled. We specialise in providing our clients with solutions to often complex regulatory requirements and compliance needs.

If you want to know more, speak to one of our experts today for confidential advice by calling 0161 413 2796 to find out more.

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FCA Investigations

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