FCA Intervention Service
Regulatory interactions can range from simple reviews to full s166 investigations and how firms respond can strongly shape the outcome. Every exchange matters so it’s important to seek expert guidance early.
We can provide you with upfront advice, and ongoing support through the investigation. Our consultants have worked as s.166 Skilled Persons, and they know that firms under investigation who have good professional advisors supporting them have a far easier time of it.
As we are a mix team of lawyers, directors and consultants we can:
Advise on how to respond to the initial s166 draft notice, and how your response at this stage can influence the final requirements notice.
Give on the ground advice utilising best practice from other remediation programmes.
Risk rank and categorisation of customer segments.
Provide guidance on how to engage with the s166 Skilled Person during the course of the investigation, and how this can influence the content of the final report.
Gathering and dissemination of complex current and historical sales and customer data
Training, management information reporting, quality frameworks and other relevant functions and resources where needed to help see through any FCA enforcement or remedial actions and orders.