Financial Regulatory Investigations

Our leading financial services and markets investigations and enforcement practice is recognised for the breadth and depth of its experience. We are regularly instructed by financial institutions, companies and individuals who require specialist knowledge of financial services regulation together with experience in complex contentious regulatory matters. Our many years of experience in this area and our understanding of and insight into the FSA’s approach to regulation enables us to achieve strategically and commercially pragmatic outcomes for our clients.

Advice at an early stage helps to minimise reputational damage and the risk of an adverse regulatory finding, which can provide a springboard for civil or criminal proceedings. Our Financial Regulatory Investigations group ("FinRIG") therefore includes members of our Dispute Resolution group, as well as our Financial Regulation group. Our understanding of the objectives and priorities of regulators is central to our work in this area. Our substantial experience of investigations and inquiries in all their forms and the related litigation which arises (including class actions) enables us to guide clients through investigations while minimising the risk of unsuccessful outcomes.

We handle all aspects of UK and cross-border financial markets investigations and proceedings, including:

• assisting in internal investigations with a view to resolving issues before enforcement action is initiated
• responding to information requests, including on an urgent basis during unannounced visits by the FSA
• representing clients under investigation by FSA Enforcement or overseas market regulators
• negotiating commercial outcomes (many of our cases result in private warnings rather than public sanction)
• representing clients before FSA’s Regulatory Decisions Committee and Tribunal