Regulatory investigations and financial disputes
We assist clients with disciplinary and regulatory investigations and claims, and advise on notifications and approaches to the FSA, investment exchanges and other regulators.
Our work in these cases often includes the preparation of written or oral submissions, and advising and preparing clients to give evidence to the FSA or other regulators (such as the SFO, DTI Inspectors or an EU regulator).
We also have extensive experience of financial services related litigation, arbitration and mediation in the UK and offshore. This has covered both prosecuting and defending claims for monies, due or owing, or damages claimed, arising from the provision of services by a financially regulated individual, company, firm or institution.
For more information, please contact: vincent.mercer@speechlys.com
Experience
- advising a substantial European investment bank on their response to a regulatory investigation into suspected rule breaches
- representing brokers accused of market manipulation in exchange disciplinary proceedings
- assisting a provider of investment and wealth management services for private clients and trustees, in relation to a number of complaints involving the alleged miss-selling of a geared investment product
- assisting an equity management business in relation to a submission to the FSA in connection with the settlement of disciplinary procedures
- representing a major insurer in the successful defence of a significant claim on an investment policy where the insured had manipulated the switch mechanism
- representing a major institution in successfully defending a substantial claim for damages for alleged misrepresentation as to the terms of insurance policies
- representing the interests of the offshore arm of a major UK life assurer in a dispute regarding the performance of an investment
- advising a US law firm on UK regulation in relation to a dispute between a US hedge fund manager and the principal of a UK hedge fund manager