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Regulatory

We understand the enormity of the regulatory burden upon business. We are experienced in advising our clients how to navigate the regulatory hurdles they face, with a particular emphasis on those clients in the legal sector and in financial services. We focus on regulatory compliance and designing and implementing policies, procedures and practices to achieve this. We can also help achieve swift resolution of compliance issues and assist in deals with law enforcement and other regulatory bodies when this is necessary.

Our Experience

• City Regulation – advice and representation on Regulatory Issues for Accountants, Actuaries, and other professions within the City.
• Solicitors Regulation Authority – advice on compliance with SRA requirements and representation in SRA investigations and disciplinary proceedings.
• Bar Standards Board – advice for Chambers on complying with BSB requirements and representation and assistance in BSB disciplinary proceedings.
• Risk Management – compliance with Anti-corruption, Money Laundering and other financial crime controls.
• Financial Conduct Authority and Prudential Regulation Authority – we advise on all aspects of financial services regulation. 
• Public Enquiries and Statutory Investigations – we advise on preparing for and appearing before all forms of public inquiry including Health and Safety inquiries.
• Sports Regulation – our Dispute Resolution team is highly experienced in the regulation of professional and amateur sports including disciplinary, doping and related issues. Our lawyers have experience in cases in sports including Greyhound Racing, Formula 1, Athletics and other Olympic sports. 

Clients look to us to minimise the risks, commercial, legal and reputational which can arise from regulatory enforcement. Where clients have enforcement issues we can assist with investigations and are familiar with the data protection and employment law issues which arise.  We often work in conjunction with forensic accountants.  We have a long history of representing clients in disputes with their regulators, particularly the FCA, and this remains a growth area of our business.

"Fox Williams LLP’s regulatory practice is headed by new arrival Peter Wright, a former member of the FSA’s enforcement division’s legal group; he brings ‘a wealth of experience’. The team recently acted in a multi-party FCA enforcement investigation"
(Legal 500, 2012)

Recent news, articles and deals:

Peter Wright (ExFSA lawyer) - The FCA must change small firm supervision
Shades of monochrome in the Black & White case: The PPI mis-selling saga continues
Economic crime prosecution under Deferred Prosecution Agreements
The Legal Audit: A Health-Check for Companies
Ban the boss...