Handling FCA Investigations - An Essential Introduction

Introduction

FCA investigations are on the rise - and for regulated firms and their legal advisers, the stakes have never been higher.

These inquiries can be disruptive, costly, and reputationally damaging. For firms, they can be existential. For individuals, they can mark the end of a career. Early, informed action is crucial - but many don’t know what to expect until it’s too late.

This practical, introductory webinar will guide you through the FCA’s investigation process from start to finish. You’ll gain insight into the regulator’s powers, procedural stages, and how to manage risk at each step. The webinar will cover legal frameworks, regulatory expectations, and the real-world challenges firms and individuals face - and how to navigate them effectively.

If you advise financial services firms - or run one - this webinar is essential. Register now to equip yourself with the tools and knowledge to respond decisively when the FCA comes calling.

What You Will Learn

This webinar will cover the following:

• When will the FCA investigate?
• The range of FCA's investigation powers
• Understand the key stages in the FCA investigation process
• FCA interviews
• Identify the potential penalties and sanctions
• Challenging the FCA decision - settlement, the Regulatory Decisions Committee and the Tribunal

This pre-recorded webinar will be available to view from Wednesday 21st January 2026

Alternatively, you can gain access to this webinar and 1,900+ others via the MBL Webinar Subscription. Please email webinarsubscription@mblseminars.com for more details.