Regulatory investigations & disputes

The essence of our services

We advise clients on:

investigations and disciplinary proceedings brought by the Financial Services Authority, exchanges and other regulators
disputes involving financial sector businesses.

Our approach to both regulatory investigations and disputes is to:

use specialists who understand the commercial and regulatory issues
work with our clients to prevent unnecessary disciplinary action and where disciplinary action is inevitable, to mitigate the effect on our clients’ business
be commercial and pragmatic with a view to ensuring the best available outcome for our clients.

Typical examples of the work carried out by the Financial Services team

advising clients who become subject to FSA investigations and disciplinary action throughout the process and dealing with any third party claims that may arise
advising clients who become involved in issues arising from the market abuse regime
advising clients on responding to requests from foreign regulators and assisting with cross-border regulatory investigations
advising clients on disputes involving fund management agreements, suitability, mis-selling, negligence and misrepresentation
advising clients on anti-bribery policies and procedures and on the risks of business conducted overseas in the light of business conducted overseas in the light of the Bribery Act 2010.

Three examples of our recent work:

acting for a client facing and allegation from the FSA of market abuse
acting for a client in defending a significant claim based on breach of suitability obligations, churning and inclusion of inappropriate products in client portfolios
representing a hedge fund in defending claims for unfair prejudice and compulsory liquidation in the British Virgin Islands.