Regulatory Investigations and Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators, in particular the UK Financial Conduct Authority and Prudential Regulation Authority and also by other regulators and prosecutors both in the UK and overseas. We also advise clients on challenging adverse decisions by regulators.
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Our highly experienced team includes a number of individuals who have worked at the regulators, giving us particular insight into the likely views of the regulators on issues requiring enforcement action or interventions.
Where a firm itself identifies a potential regulatory issue, we can advise on diagnostic internal investigations, notifications to the regulators and remedial action. We are frequently successful in enabling our clients to avoid enforcement action or other interventions by the regulators.
Sometimes enforcement action cannot be avoided. We are experienced in defending clients, including at the FCA's Regulatory Decision Committee and the PRA's Enforcement Decision Making Committee and on appeals to the Upper Tribunal and other fora.
Our team includes criminal prosecution experts, enabling us to provide a seamless service where criminal investigations are pursued concurrently with regulatory actions.
Featured experience
- We advised the Upper Tribunal’s decision in the Stuart Forsyth case overturning decisions by the FCA and PRA to fine the former CEO of a mutual insurer and prohibit him from working in financial services. The regulator’s approach to handling the investigation and enforcement proceedings against Mr Forsyth was heavily criticised by the Upper Tribunal and this led to the regulators making significant changes in their investigation and enforcement processes.
- Advising a global asset manager on investigations and enquiries by the FCA, the SEC and other global regulators following potential investment losses caused by a failure of its quantitative investment model. Also advising on litigation threatened by affected investors.
- Advising hedge fund management firms on internal investigations into potential market abuse by traders, including a number of assignments involving alleged "spoofing" behaviour. Successfully avoided enforcement action by the FCA.
Related services
Regulatory Investigations and Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators.
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Financial Services Regulatory
We provide expert advice on financial services regulation to banks, asset managers, securities brokers, insurers and insurance brokers, and financial advisers.
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Governance and Compliance in Healthcare
Working within our leading health and social care team, our governance experts specialise in helping health and social care organisations implement effective governance practices.
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Health and Social Care Regulatory
Our health and social care regulatory specialists will provide you with practical, strategic advice designed to help you resolve complex issues in this highly regulated sector.
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Inquests
Our experienced healthcare regulatory lawyers represent NHS and independent providers in inquest proceedings.
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Insurance Advisory
As a firm with insurance at the heart of its business, we understand the regulatory challenges faced by insurers, brokers and distributors.
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Internal Investigations
We advise clients on internal investigations into issues ranging from compliance breaches in regulated firms to any matter involving people and the workplace.
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International Sanction
We advise on compliance with financial and trade sanctions in the course of international business.
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Life Sciences
Our life sciences team advises many of the UK’s leading pharmaceutical companies, medical device, software, and AI manufacturers, as well as consumer healthcare suppliers and their insurers.
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Safety, Health and Environment
As a leading commercial law firm our specialist regulatory lawyers understand what is important to clients, when dealing with regulatory bodies such as the HSE, Environment Agency, or fire authority in the aftermath of an incident.
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”Strong litigation team, which operates well to pull in resources from other specialisms across the firm where needed.
Legal 500 UK 2023 Edition, Commercial Litigation: Leeds And West Yorkshire; North Yorkshire, Yorkshire and the Humber
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”Really punches above its weight in commercial litigation. Very focused on achieving the best outcomes for clients on a cost-effective basis.
Legal 500 UK 2023 Edition, Commercial Litigation, Mid-market, London
Regulatory Investigations and Enforcement key contacts
Quiénes somos
¿Por qué elegir DAC Beachcroft?
Somos un bufete comercial de amplia base que presta servicios a una gran variedad de sectores, con una sólida herencia en seguros,
salud e inmobiliario. Combinamos excelentes conocimientos jurídicos y experiencia de vanguardia para diseñar soluciones en
que se adapten a las necesidades de nuestros clientes, a menudo con un uso inteligente de la tecnología.
Seguros
DAC Beachcroft es reconocido como un asesor preeminente en el mercado de seguros, y ponemos un fuerte énfasis en las relaciones a largo plazo que construimos con usted para que realmente podamos agregar valor a su negocio.
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Sanidad y asistencia social
DAC Beachcroft está considerado líder del mercado en la prestación de asesoramiento jurídico corporativo, comercial y normativo a proveedores de servicios sanitarios.
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Inmobiliario
Con 170 abogados, somos uno de los mayores equipos jurídicos inmobiliarios del Reino Unido. Nuestra amplia red nos proporciona conocimientos y acceso a nivel nacional, regional y local.
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Servicios financieros
Asesoramos regularmente a diseñadores y fabricantes de productos, organismos comerciales y minoristas, distribuidores e inversores de capital riesgo que desean invertir en el sector de los servicios financieros.
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Tecnología
Como asesores de confianza desde hace muchos años en el sector tecnológico, ofrecemos soluciones pragmáticas e innovadoras que le permiten tomar decisiones informadas sobre la mejor manera de maximizar su éxito.
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Especialidades industriales
Combinamos nuestro profundo conocimiento del sector con una astuta conciencia comercial y un alcance mundial.
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