Contentious Regulatory

We’re experts in managing the scrutiny of the regulators and work with our cross-practice team of litigation, crime, competition, employment and tax specialists on our clients’ most complex cases.

Best known for our expertise in contentious regulatory investigations, we’ve advised on those conducted by the Financial Conduct Authority, Prudential Regulation Authority and other UK regulators.

We’re particularly specialist in managing proceedings in parallel. Our reputation for skillfully navigating related criminal, civil and regulatory proceedings is second to none, which is why clients come to us when the stakes are high.

But that’s not all we do. Our expertise in culture and conduct risk, systems and controls breaches, misconduct and individual accountability means that we often work with clients on prevention as well as response. We provide practical guidance on reporting requirements, implementing regulatory changes and senior management responsibility and provide client training to learn from the outcomes of past cases.

Our core contentious regulatory services are:

• Prevention and Risk Management - advising financial institutions on managing their risks across a range of issues, including in relation to systems and controls and senior management responsibility, and providing training, for example in relation to market abuse

• Scrutiny and Assistance - advising financial institutions responding to regulators seeking information for use in regulatory or criminal investigations in the UK and internationally

• Investigations - conducting internal investigations for clients in the financial services sector, to assist them in addressing regulatory issues at an early stage and to demonstrate credibility and impartiality with regulators

• Regulatory Defence - advising and assisting financial institutions on regulatory investigations, strategies and responses, and the disciplinary proceedings that may follow.

• Advisory Work - we work closely with our clients advising on how best to implement conduct risk, culture and other regulatory changes.