We have been advising clients on all aspects of regulatory enforcement for over 20 years and have worked on some of the most complex and high profile investigations and proceedings brought by the FCA, PRA, UKLA, AIM regulation team and FRC.
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.
Our expertise includes investigations relating to market misconduct, systems and controls governance failures, financial crime and money laundering, fraud, client money control breaches, change in control regime breaches, payments and e money regulation breaches, and related insolvency actions.
We appreciate the legal and reputational consequences for firms and individuals facing any regulatory action and we ensure that our clients receive tailored advice on handling the issues arising in any enforcement investigations and disciplinary action. Members of our team have previously worked within enforcement teams at the FSA and the FCA. We therefore offer invaluable insight into and understanding of the mechanics of such investigations. With this knowledge, we work collaboratively with the regulators to achieve the very best outcome for our clients.