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.

Overview

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.

Nos partenaires vedettes

Un mot de nos partenaires

  • Je voulais juste partager une note rapide et vous faire savoir que vous faites un très bon travail. Je suis content d'avoir décidé de travailler avec vous. C'est vraiment formidable de voir à quel point vos sites Web sont faciles à mettre à jour et à gérer

    Ross Elder

  • Je voulais juste partager une note rapide et vous faire savoir que vous faites un très bon travail. Je suis content d'avoir décidé de travailler avec vous. C'est vraiment formidable de voir à quel point vos sites Web sont faciles à mettre à jour et à gérer

    Ross Elder

Regulatory Investigations and Enforcement key contacts

Qui sommes-nous ?

Pourquoi choisir DAC Beachcroft ?

Nous sommes un cabinet commercial à large assise, au service d'un grand nombre de secteurs, avec un solide héritage dans les domaines de l'assurance, de la santé (
) et de l'immobilier. Nous combinons d'excellentes compétences juridiques et une expertise de pointe en matière d'exécution pour concevoir des solutions
qui répondent aux besoins de nos clients - souvent en utilisant intelligemment la technologie.