Investigations and Enforcement

Investigations and Enforcement

Since the financial crisis in 2008, regulation in the financial services sector has been under the spotlight and the regulations, how they are enforced and the attitude of the regulatory authorities in making enforcement decisions has changed considerably.

We are trusted advisers to our clients when potential wrongdoing has been identified. We assist our clients in assessing regulatory risk, developing strategy to deal with regulatory scrutiny and in dealing with and helping our clients deal with engagement with the regulator.

We act for clients in relation to regulatory investigations and enforcement action conducted by the FCA, PRA, AIM and the Take Over Panel. We also have a wealth of experience in acting in multi-jurisdictional regulatory investigations and have acted in co-counsel roles in connection with investigations proceeding in the UK and various European jurisdictions and in the UK and the US. In the UK, we act for clients in proceedings before the RDC, Upper Tribunal and other relevant forums.

Our experience includes acting for clients in the industry wide investigations and enforcement actions in connection with LIBOR, EURIBOR, F/X and ISDAFIX as well as more discreet matters relating to breaches of international sanctions, money laundering, bribery and corruption, market abuse, AIM rule 9 breaches and various other AIM rule breaches.

We also provide a seamless service where criminal investigations and prosecutions flow from or are pursued in conjunction with regulatory investigations and enforcement actions. See our Financial Crime page for further information.   

Related Articles

Expertise