Our team has been advising and acting for financial services clients in relation to regulatory enforcement matters for over 15 years.

In that time we have acted for life assurers, asset managers, banks and stock brokers who have been subject to regulatory investigation and disciplinary actions.

Areas covered include packaged product misselling, back office administration, anti-money laundering procedures, market abuse and capital adequacy. A member of our team previously worked in-house for the FSA’s regulatory enforcement department. This gives our team a unique insight into the strategies and objectives of the regulator.

Team members are able to assimilate a large amount of evidence that regulatory investigations produce, accompany staff to FSA interviews, respond to FSA interim reports, attend the Regulatory Decisions Committee and deal with Tribunal proceedings.