Successful Pre-Charge Intervention Prevents Prosecution In FCA Insider Trading Case


We are proud to announce a significant success on behalf of one of our clients who was being investigated by the Financial Conduct Authority investigation for insider dealing. Our client, who was investigated alongside their partner, has now been notified by the FCA that they are taking no further action against her. This decision was made by the FCA following the submission of detailed representations to the FCA on their behalf.

During the course of our instruction we provided comprehensive advice during  the initial interview that took place, ensuring our client was well-prepared and protected. Following interview, we liaised closely with the FCA before submitting representations seeking to demonstrate that there was insufficient evidence to proceed to charge. Our representations resulted in the FCA deciding to take no further action against our client. The investigation continues against our client’s partner.

The outcome is a testament to our ability to navigate complex regulatory and criminal investigations and to consistently achieve favourable results for our clients at the pre-charge stage. This case also highlights the importance in seeking to prevent prosecutions before they start by applying a proactive defence strategy at the earliest stage of the proceedings. Where applicable, such approach saves our clients from the stress and uncertainty of a lengthy legal battle through the courts and the associated costs of defending a case to trial.

Mark Bowen was the lead lawyer on this case. For more information on the case or the work we undertake in our business crime and fraud department please contact us on 020 7025 4450.