FCA

Hickman & Rose is a leading law firm representing individuals and companies under regulatory and criminal investigation by the Financial Conduct Authority (“FCA”). It is recommended by the Legal 500 2020 edition for its financial services litigation work.

Our team has an impressive track record of achieving positive results for our clients in the RDC (Regulatory Decisions Committee), civil and criminal courts.  The firm has extensive experience of multi-jurisdictional investigations, especially involving the SEC, and of working strategically with overseas lawyers.

Other areas of expertise include handling allegations of insider dealing and market abuse; market manipulation, money laundering and the Senior Managers and Certification regime.

Our experience of knowing when to fight, and when to compromise, means we have achieved successes often beyond the client’s expectations.

Recent notable cases include:

  • Achieving the acquittal at the RDC of Pete Koutsogiannis who was accused as part of the LIBOR investigation.
  • Representing an individual put under joint investigation by both the FCA and PRA (Prudential Regulatory Authority).
  • Acting for a company and its directors in High Court litigation regarding a collective investment scheme which we successfully settled.
  • Representing Neil Danziger who was accused of misconduct by being knowingly concerned in breaching the Principles of Business.
  • Representing individuals in the FOREX investigation and also in high profile, multi-jurisdictional, insider dealing and market abuse investigations.