Church arch from below

Financial regulation & compliance

The ability of the Financial Regulation & Compliance team is founded upon each member’s expertise in the technical aspects of financial crime, asset forfeiture, confiscation and civil fraud.

The Financial Regulatory & Compliance Team at Furnival Chambers has extensive experience in a breadth of FCA issues, ranging from Financial Crime and Market Abuse through to providing advice on Market Conduct, Senior Management Arrangement, Systems and Controls, Authorisation and Codes of Practice for Approved Persons.

The team, which includes members with first hand experience through secondment within the FCA Wholesale Markets Enforcement Division, are well placed to conduct litigation before both the FCA Disciplinary Tribunals and the civil courts and offer advice and representation throughout the entire regulatory process.

The Furnival Team is able to act swiftly in the event of regulatory intervention.

Chambers compliance work includes advising solicitors and financial institutions on the making of authorised disclosures to the National Crime Agency (formerly the SOCA), and advising companies and individuals whose bank accounts are ‘frozen’ by banks, including the issuing of proceedings for injunctive relief.