Enforcement, Investigations & Financial Crime
Our lawyers are highly respected for their work in regulatory investigations, particularly FCA investigations and enforcement proceedings representing individuals and companies. We have a wealth of experience appearing before the Regulatory Decisions Committee and carrying out internal investigations on behalf of clients. In addition to FCA investigations, we act for clients in relation to investigations by the Serious Fraud Office (SFO), Office of Fair Trading (OFT) and non-UK regulators.
Our FCA team consists of both civil and criminal lawyers and those specialising in disciplinary proceedings. Having this range of expertise means we can deal with all aspects on these matters. This avoids having numerous law firms dealing with different parts of the issue. We aim to provide a seamless service resolving problems in a way that minimises disruption and damage to your business.
Our services include:
- FCA investigations into:
- FCA principle and rule breaches
- market abuse
- insider dealing
- money laundering
- perimeter breaches
- illegal deposit-taking
- unauthorised collective investment schemes
- using misleading statements and practices
- proceedings in the Regulatory Decisions Committee and the Financial
- Services and Markets Tribunal
- SFO investigations
- OFT investigations
- internal investigations.
Our recent work includes acting for:
- a significant individual in the joint FCA/DOJ/CFTC investigation into the alleged manipulation of LIBOR
- a major multi-national company conducting an internal investigation resulting in a self-report to the OFT and subsequent application for immunity
- an alleged rogue trader at a major US investment bank who was accused of mis-marking his book of OTC derivative investments
- a CEO of a major multi-national company in an OFT investigation into alleged cartel activity
- a UK hedge fund in a multi-jurisdiction market abuse investigation
- a hedge fund manager in the UK in relation to a major investigation by the French regulator
- the operator of a collective investment scheme in relation to mis-selling allegations
- a senior investment banker at a major investment bank who was subject to an FSA investigation and was successfully defended when FCA dropped all charges against him
- a large business which the FCA alleged had been carrying out regulated activities without being authorised to do so.