- 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).