Financial Services Regulation

At Red Lion Chambers we provide market-leading expertise in all areas of financial services regulation.

Whether advising, defending or prosecuting, our financial services regulation barristers are considered to be some of the leading experts in regulatory and criminal matters, brought by the Financial Conduct Authority (FCA) and its predecessors.

With some of the most highly-respected financial services regulation experts at the London and South East Bar, members of Red Lion Chambers are instructed by firms, individuals and regulators, on matters relating to this jurisdiction and worldwide.

Our financial services regulation barristers act for both authorities themselves as well as individuals and organisations subject to enforcement action or investigation.

Members also provide regulatory advice in non-contentious matters and in internal Investigations.

Members of Red Lion Chambers bring market-leading expertise in not only FCA matters but those relating to SFO prosecutions and FRC investigations.
The insight gained, both prosecuting and defending such matters over many years, gives our barristers a unique, tactical insight and advantage. We apply strategic acumen and intellect, based on a widely balanced, experienced and informed perspective.

Our financial services regulation expertise includes:

  • market conduct and financial crime including insider dealing and market abuse
  • complex trading frauds
  • governance and risk management
  • enforcement
  • internal and external Investigations
  • advising on regulatory change
  • acting for individuals in relation to the approved persons and senior managers regime
  • criminal prosecutions brought by the FCA.