We advise financially regulated businesses and senior individuals on contentious issues, primarily in relation to FCA/PRA Enforcement investigations and Supervisory interventions.
We are seeing an increasing number of complex regulatory demands placed upon companies and individuals, from both domestic and international regulators. There are significant penalties for non-compliance, and ensuring clients receive sound legal advice, often at the early stages of the matter, is crucial.
We help clients navigate these complexities and achieve their commercial and strategic objectives.
We often support clients who are under investigation, assisting an investigation (i.e. as a witness), or have discovered an issue that is likely to lead to a regulatory investigation.
We have the experience required to advise the full range of PRA and FCA authorised firms and individuals on contentious regulatory issues, from banks to those working in the FinTech space.
A significant number of the team have worked in the Enforcement division of the FCA, meaning we can offer clients excellent insight into how proceedings and investigations might develop. We are known as a safe pair of hands with the Regulators, and seek to, where appropriate, work collaboratively with them to achieve the very best outcome for our clients.
We also have expertise in cross-border investigations bought by the US Department of Justice, the Securities and Exchange Commission, the Commodity Futures Trading Commission and the New York Department of Financial Services. In such matters, we often co-counsel with leading US law firms.
