Services

Risk Advisory & Regulatory

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Why take the risk

Identifying and managing risks that have legal consequences is a core component of a thriving business and your Environmental, Social and Governance strategy. And the route to maximising opportunities.

Legal consequences include the risk of prosecution, regulatory action, claims or the loss of contractual or IP rights. Strong Boards also look beyond strictly legal consequences,  knowing that external scrutiny extends beyond those with formal regulatory investigative powers.  Compliance with the spirit of the law, not just the letter, is intrinsic to the risk equation..

Our risk and regulatory team leverage significant experience dealing with regulators, and working in house, to support boards, GC’s and Risk Managers minimise and maximise opportunities to help you keep your strategy on track. If things go wrong, we also help clients subject to regulatory and criminal investigation and enforcement action.

Our services

Our risk lawyers are experts in:

  • Support businesses devise, update and review risk management structures proportionate to needs.
  • Help businesses define risk appetite and tolerance levels and establish procedures for monitoring and reporting risks.
  • Horizon gaze legal and regulatory change, and trends in stakeholder oversight to support legal and stakeholder risk management.
  • Supporting organisations maximise data driven business opportunity trough pro-active risk mitigation.
  • Supporting strategic and day to day accountability and data governance measures including data supply chain management, intra group data sharing, international data transfers and employee data projects
  • Dealing with data breaches and cyber security incidents, liaising with regulators, incident investigation, defending enforcement and litigation and dealing with third party information requests.
  • Advising national and international corporates on their fraud risk, prevention and response strategies.
  • Supporting business in both regulated and unregulated sectors, where they are victims of external or internal fraud (including investigations) and the conduct of civil fraud, bribery, corruption and conspiracy claims.
  • Critical response in connection with external investigations by regulators (FCA, OfGem etc), law enforcement (SFO, CPS) or prosecution agencies (Trading Standards, Environment Agency)
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  • Reviewing workplace policies and procedures that manage health and safety and fire safety.
  • Advice and representation at an ‘interview under caution’ as part of an investigation by the Health and Safety Executive, Environment Agency or other regulatory body.
  • Advice in connection with ESG objectives and monitoring requirements – looking backwards and forwards when ensuring compliance.
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  • Supporting businesses with policy drafting – ABC, Modern Slavery, responsible purchasing.
  • Undertake independent investigations in response to internal audit, whistle-blower reports or external stakeholder challenge.
  • Help clients respond to regulatory investigations.
  • Providing representation and strategic advice focussed on resolving conflicts: our services encompass all dispute resolution methods including, traditional litigation, judicial review, mediation, arbitration, negotiation, and ADR techniques.  Our service encompasses the entire lifecycle of a dispute from initial emergence to final resolution and post-resolution follow-up to avoid reoccurrence.  Our approach ensures every stage of the dispute is handled systematically and effectively, providing continuous oversight to achieve a satisfactory .
  • Assisting organisations develop proactive dispute resolution strategies to manage and mitigate risks before they escalate. This involves assessing potential disputes, evaluating resolution options, and creating frameworks for early intervention and negotiation.
  • Assisting organisations in handling disputes related to regulatory and compliance issues. This includes navigating regulatory investigations, responding to enforcement actions, and ensuring that the organisation’s practices align with legal and regulatory requirements to avoid future disputes.
  • Monitor ASA and CMA activity for new guidance and rulings on adverts in breach of regulations.
  • Review draft advertising and marketing campaigns to ensure compliance with the applicable CAP code(s) and other advertising regulations.
  • Assist clients to respond to customer and competitor complaints and ASA and CMA investigations into breaches of marketing regulation.
  • Helping financial institutions navigate complex regulatory landscapes, ensuring compliance with MiFID II, SMCR and Consumer Duty.
  • Advice on the regulatory perimeter and assisting in obtaining licenses, authorisations and approvals from financial regulators when required.
  • Supporting the development and implementation of risk management frameworks tailored to the financial services sector and to the risk profile of individual firms.
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  • Providing immediate support and strategic advice during crises that threaten an organisation’s reputation as an adjunct or necessary corollary to major “risk” matters. whether regulatory, transactional or arising out of the nature of the underlying business.
  • Crafting communication strategies, handling media relations, and managing legal aspects of public disclosures to mitigate negative impacts.
  • Protecting clients against defamation, libel, and slander. Legal professionals represent organisations in court, pursue legal action against parties responsible for reputation damage, and seek remedies such as retractions, apologies, or damages.
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  • Advice to sports clubs and event organisers planning for domestic and international events (such as licensing requirements).
  • Maximising opportunities through commercial contracts and other agreements.
  • Responding to regulatory intervention: planning stage or following an incident under investigation by the Football Association or other sports governing body.
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  • Advice on all aspects of compliance with complex energy regulatory regimes.
  • Assist clients with engagement with regulators like Ofwat and Ofgem, including responding to enforcement action.
  • Energy related dispute resolution.
  • Responding to initial paperwork and ‘naming the driver’.
  • Representing motorists at an interview under caution as part of a police investigation.
  • Defending motorists in cases in the Magistrates Court and Crown Court.
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Related services

Related services

Commercial, Tech & Data

Our commercial offerings provide support for day-to-day matters and contractual advice that underpins business operations. Bringing in trusted experts lets your team focus on strategically driving your business forwards where their focus is needed. In addition, we are able to empower your business by creating templates that help to streamline contractual arrangements.

More about Commercial, Tech & Data

Dispute Resolution

Whatever the dispute concerns, businesses need agile advisors who truly understand their business. Our award-winning dispute resolution team understand that your priority is to focus on your business whilst we deal with the dispute for you.

More about Dispute Resolution

Regulated Financial Services

The pace of regulatory change can seem relentless and operating a business in the regulated sector adds an additional layer of complexity over and above the usual business and legal challenges. Businesses that stay ahead of the regulatory curve and adapt quickly to this change are in the best position to seize opportunities and steal a march on their competitors, and need advisers who are aligned with that approach.

More about Regulated Financial Services

Why choose Foot Anstey?

Using an Anticipate, Prevent and Cure model, our cross discipline team of advisors help you look at your risk management holistically to drive operational consistency and prevent risks getting in the way of your growth:

Anticipate

Our approach is proactive. We aim to prevent future risks before they occur by anticipating what could potentially trip you up. Horizon gazing to spot emerging issues is one way we can help you build organisational resilience, protect your reputation and explore whether risk uncertainties also bring opportunities.

Prevent

‘Prevention is better than cure’ whether that be spotting risks in a corporate or real estate acquisition, helping you stay safe as you commercialise your data, or as you manage issues around equal pay, anti-bribery policies and payment practices. We can go one step further and undertake a full business audit, as a regulator might, to sense check and spot the gaps between plan and reality so that we can help you ensure your business is minimising the chances of issues materialising.

Cure

But, of course, incidents do happen. When they do we are on 24/7 standby to be your critical friend in a moment of crisis, guiding your initial response through to conclusion of regulatory investigations and enforcement utilising our cross discipline regulatory experts and reputation management specialists.

Our people

Our multi-disciplinary Partner led team has the experience to advise you across the breadth of risk issues you face – from implementing risk management frameworks to policy drafting and incident response.

Meet our team

Key contacts

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What do our clients say?

“Nathan Peacey is a practical. Fights hard when the circumstances demand.”

Legal 500 2024

“Tim Williamson is a pleasure to work with. His knowledge and experience are superb and he is provides an excellent client service.”

Legal 500 2024

“(Nathan Peacey ) is very accessible, very measured, and very good at coming back with practical and useful advice.”

Chambers 2023

“(Tim Williamson) is always keen to understand what the clients want to achieve from the litigation and to explore any escape routes available. As a former barrister himself, Tim has a sensible and realistic approach to litigation.”

Legal 500 2023

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