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            Financial Services Regulatory Investigations

            Our contentious regulatory defence lawyers have successfully defended regulated firms, directors & officers and senior managers in financial regulatory investigations.

            • Proactive approach, with proven successful outcomes
            • Team includes ex-regulators, investigative lawyers, prosecutors, FCA Skilled Persons, forensic investigators, compliance consultants and money laundering reporting officers
            • Full coverage of Financial Services sector
            • UK and international offering

             

            A regulatory investigation can represent a significant event in the corporate life of a regulated firm and its senior management. Responding to an investigation is disruptive to the firm's business, potentially costly in terms of a regulatory financial penalty and restrictions on business, as well as management time and defence costs.  

            Our team undertakes a proactive and proportionate approach that is proven in delivering successful outcomes for our clients, including the discontinuance of investigations, or private warnings and negotiated settlements acceptable to them. 

             

            Multi-disciplinary: We combine the experience and expertise of ex-regulators, investigative lawyers, prosecutors,  FCA Skilled Persons, heads of compliance, and Money Laundering Reporting Officers, together with specialists from DWF Forensic, our in-house forensic accountancy solution, delivering the optimal regulatory outcome through a holistic service.

             

            International:  We are able to assist you in cross-jurisdictional matters with experience acting on regulatory investigations and enforcement action by the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and overseas regulators.

             

            Sector-specific: With sub-sector subject matter experts that understand the nuances of your business, you will receive advice tailored to achieving the best resolution for your situation.

             

            Prevention: We get involved early on, assisting with internal investigations, advising on regulatory notifications, systemic risks, remediation programmes and the restoration of good regulatory relations, before things escalate.

             

            We act for a diverse range of clients, including:

            • regulated firms (banks, insurers, intermediaries, brokers, lenders, and asset managers);
            • listed companies;
            • C-suite directors (Chair, CEO, COO, CFO, Head of Compliance, General Counsel and iNEDs); and
            • senior managers (compliance managers, MLRO and LIBOR submitters).

            Contact our partners

            Richard Burger

            • Partner // Head of Financial Services Regulatory Investigations

            Robbie Constance

            • Partner // Head of Financial Services Regulatory

            Sarah Smith

            • Senior Associate

            Helga Breen

            • Partner // Head of Employment (London)

            Chris Wheeler

            • Director // Head of DWF Forensic Services

            Helen Walters

            • Forensic Accountant

            Imogen Makin

            • Director // Head of Financial Services Regulatory Investigations
            DWF Forensic

            DWF Forensic

            DWF Forensic is a team of experienced, qualified forensic accountants and investigators, with ‘Big Four’ accounting expertise. 

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