Regulatory enforcement
Regulatory interventions, investigations and enforcement action pose a significant risk to the any firm and its senior management.
Our Contentious Regulatory team includes former enforcement lawyers and lawyers who have worked in the Legal and Compliance teams of some of the largest financial institutions. We have successfully concluded enforcement investigations with no further action, private warnings and on terms acceptable to our clients.In the UK, we have a vast amount of experience dealing with the FCA, PRA and Lloyd's of London, on behalf of our clients. While in Asia, we similarly deal with the Securities and Futures Commission of Hong Kong, Hong Kong Monetary Authority and Monetary Authority of Singapore.
This means we have the experience to help mitigate reputational damage, unnecessary expense and burden on management time. As well as helping to set the right tone for positive future relationships with the regulators.
For out of hours advice and/or representation at a regulatory enforcement interview or raid, please contact Jonathan Cary on +44 7545 100 478.
Where we need to work alongside lawyers in other jurisdictions, we are part of the TerraLex network and have access to over 150 law firms in 100 jurisdictions across the globe.