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Where a potential regulatory breach comes to light, we are experienced in advising firms and senior individuals on next steps.
At all times, we seek to mitigate both immediate and any potential legal, reputational and litigation risks on the horizon, drawing on our extensive experience and work within the regulator.
Our experts Sonya Zywko, Alan Hughes and James Gliddon discuss why firms must focus on the fair treatment of vulnerable customers, in the context of high inflation and borrowing costs.
Our deep experience of advising on a broad range of contentious regulatory matters extends to working with firms across the sector. Whatever your position in the market, we can help you.
Advising on whether a notification obligation has arisen, the content of any notification and next steps.
Helping firms manage a Skilled Person review, including advising on document gathering, preparing individuals for interview and privilege issues.
We advise firms where they face a proposed voluntary requirement or a requirement has been imposed by the regulator using own initiative powers.
We can provide the level of support you need including advising on the scope of an internal investigation to diagnose how and why a particular issue arose, putting in place a governance framework to protect privilege issues and disciplinary matters. Where an investigation has arisen as a result of a whistleblower notification, we advise on the overlapping regulatory, employment and other considerations which arise.
We advise on navigating the process of a regulator led investigation (such as investigations by the FCA, PRA and Ofgem). We are alive to the need for early and constructive engagement with the regulator and draw on deep experience of advising both firms and individuals. During the course of the investigation, we are mindful of the need to seek to manage future risks including potential third-party litigation and reputational concerns.
Where it has not been possible to avoid enforcement action, we advise on defending formal enforcement proceedings, such as representations to the FCA’s Regulatory Decision Committee, Upper Tribunal and other regulatory bodies.
Where regulatory intervention gives rise to a published outcome, we anticipate and advise on third party litigation which may flow from that outcome.
We can advise on remediation steps such as improvements to your systems and controls.
When you work with us, you’ll be partnered with a senior lawyer who understands financial services and the way regulators like the FCA and PRA work.
We’ll draw on our experience of working within the regulator to help you navigate a regulator led investigation or other regulatory intervention and we won’t shy away from giving straightforward pragmatic advice, where appropriate.
We know how to help you navigate any regulator led or internal investigation when a potential regulatory breach comes to light, drawing on our extensive experience of supervisory and enforcement interventions.
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