Regulatory Proceedings
Financial quantum analysis for FCA, SRA, and professional regulatory enforcement proceedings.
Regulatory Forensic Accounting
Sterling Forensic provides forensic accounting support in regulatory enforcement proceedings. Our work covers FCA enforcement actions involving mis-selling loss quantification, SRA proceedings involving client account irregularities, and professional body disciplinary matters with financial dimensions.
We apply regulatory redress methodologies where appropriate, assess the financial impact of regulatory breaches, and provide expert evidence on the accounting aspects of enforcement actions.
What We Cover
- FCA mis-selling loss quantification
- Investment management mandate breach
- SRA client account irregularities
- Professional body disciplinary matters
- Regulatory redress methodology
- Financial services dispute quantum
Frequently Asked Questions
What regulatory proceedings does Sterling Forensic handle?
We handle FCA enforcement actions involving investment management mandate breach and mis-selling loss quantification, SRA proceedings involving client money irregularities, and professional body disciplinary matters where financial analysis is required. We also assist with regulatory quantum in financial services disputes.
How is mis-selling loss calculated in regulatory proceedings?
Mis-selling loss is typically calculated as the difference between the actual investment outcome and the outcome that would have resulted from an appropriate alternative investment, applying FCA redress methodology adjusted for the individual claimant's circumstances.
Related Practice Areas
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