Regulatory Investigations and Enforcement

This means your company could face the prospect of enforcement action leading to significant financial penalties and other regulatory sanctions. We are defense counsel to some of the biggest banks, insurance companies and financial institutions in the world, as well as a variety of exciting challengers.

Instructing a law firm with extensive experience of a regulator's objectives and approaches is essential. Many of our lawyers have direct experience of working for major international regulators and law enforcement agencies, such as the SEC, FINRA, CFTC and DOJ in the USA, the FCA and SFO in the UK and the SFC in Hong Kong. It’s not just lawyers you would be partnering with, but also regulatory practitioners, risk and compliance professionals with decades of experience.

The support you get from us is never narrow in its focus. We deploy multidisciplinary teams and can therefore advise you on black letter legal issues as well as matters relating to systems and controls, policies and procedures, culture and conduct, governance and risk management frameworks. We can conduct internal reviews and independent investigations for you and, where appropriate, report to the regulators. We can also litigate against the regulators, when your situation demands it.

We have a truly global practice. So wherever you need knowledge and experience in a particular jurisdiction, we can help. Our financial services regulatory lawyers are thought leaders in their field - regularly speaking and writing on new and emerging risks, trends and regulations, and shaping the conversation. It’s this kind of insight that will help you stay ahead of the competition.