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Financial Services Regulatory

Small banner regulatory

Our contentious regulatory defence lawyers have successfully defended regulated firms, directors & officers and senior managers in financial regulatory investigations.

How we can help

We have a market leading reputation

  • Proactive approach, with proven successful outcomes
  • Team includes ex-regulators, investigative lawyers, prosecutors, FCA Skilled Persons, forensic investigators, compliance consultants and money laundering reporting officers
  • Full coverage of Financial Services sector

A regulatory investigation can represent a significant event in the corporate life of a regulated firm and its senior management. Responding to an investigation is disruptive to the firm's business, potentially costly in terms of a regulatory financial penalty and restrictions on business, as well as management time and defence costs.

Our team undertakes a proactive and proportionate approach that is proven in delivering successful outcomes for our clients, including the discontinuance of investigations, or private warnings and negotiated settlements acceptable to them.

Multi-disciplinary: We combine the experience and expertise of ex-regulators, investigative lawyers, prosecutors, FCA Skilled Persons, heads of compliance, and Money Laundering Reporting Officers, together with specialists from DWF Forensic, our in-house forensic accountancy solution, delivering the optimal regulatory outcome through a holistic service.

International: We are able to assist you in cross-jurisdictional matters with experience acting on regulatory investigations and enforcement action by the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and overseas regulators.

Sector-specific: With sub-sector subject matter experts that understand the nuances of your business, you will receive advice tailored to achieving the best resolution for your situation.

Prevention: We get involved early on, assisting with internal investigations, advising on regulatory notifications, systemic risks, remediation programmes and the restoration of good regulatory relations, before things escalate.

We act for a diverse range of clients, including:

  • Regulated firms (banks, insurers, intermediaries, brokers, lenders, and asset managers);
  • Listed companies;
  • C-suite directors (Chair, CEO, COO, CFO, Head of Compliance, General Counsel and iNEDs); and
  • Senior managers (compliance managers, MLRO and LIBOR submitters).

 

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