Financial Services Regulation

The Financial Conduct Authority (FCA) is the primary regulator for financial services in the UK. That role includes the regulation of corporate and individual conduct and the authorisation of financial service firms wishing to carry out regulated activity.

In addition, the Competition and Markets Authority (CMA) and The Pensions Regulator (TPR) have statutory remits that extend to conduct and authorisation in the financial services sector.  All three regulators have an increased appetite for enforcement activity.

Richardson Lissack is regularly instructed in the most complex financial services regulatory matters involving both authorisation, conduct and enforcement.  We strive for excellence and can provide our clients with access to a team of diligent, experienced lawyers that can call upon past experience in the enforcement division at the FCA from its ranks.  We have considerable experience of successfully handling enforcement and non-enforcement enquiries by the FCA, CMA and TPR.

Our lawyers are available 24/7 to assist you and provide legal advice. Contact London 020 3753 5352 or Manchester 0161 834 7284. Alternatively you can email