Financial Regulatory Investigations

Since the financial crisis, regulatory enforcement has been the subject of increased attention and activity throughout the world's major financial markets.

We have the depth of knowledge and expertise to assist those who come under the scrutiny of the financial regulators.

Our leading financial services regulation practice links not only supervisory and enforcement work but also draws upon expertise from our market-leading Crime, Fraud and Investigations group, acknowledging the regulators’ current focus on criminal powers.

We advise clients on:

  • 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 provide training, for example in relation to market abuse
  • scrutiny and assistance: advising financial institutions responding to regulators and law enforcement 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.