Regulatory InvestigationsFriday, 9 October 2015
Our Regulatory Investigations group, comprising members of our Financial Services and Markets and Dispute Resolution teams, is made up of leading experts in regulatory investigations, enforcement action and disciplinary proceedings.
We have extensive experience in representing individuals and companies in relation to FCA investigations and enforcement proceedings, we appear before the Regulatory Decisions Committee and we carry 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, the London Stock Exchange, HM Revenue & Customs and non-UK regulators. We also advise clients on money laundering issues, including on dealing with the Police in relation to money laundering criminal investigations.
We regularly provide bespoke training to clients on financial crime and regulatory compliance issues.
Most of the matters on which we advise are successfully concluded without publicity, but the wide range of issues on which we have advised both firms and individuals include:
- an investment bank in connection with an investigation by the London Stock Exchange in relation to alleged breaches of the AIM rules
- an international bank in connection with an SEC investigation arising out of the sub-prime crisis
- an investment bank in successfully defending an investigation by the UK Listing Authority in relation to alleged breaches of the rules relating to Sponsors
- an international bank in responding to an FSA investigation into alleged manipulation of trading records
- a hedge fund manager being investigated by the FSA for alleged multiple breaches of various rules and principles
- a hedge fund manager being investigated by the FSA for alleged unauthorised dealing following the production of a section 166 report noting systems and controls failures
- a hedge fund manager being investigated by the FSA for alleged market abuse
- a hedge fund manager in answering FSA questions concerning Madoff dealings
- a fund manager following loss of customer details
- a UK listed company in connection with an investigation by the FSA in relation to alleged breaches of the disclosure rules
- brokers in connection with an FSA investigation into a UK listed company in relation to misleading the market
- Darren Morton, one of the Dresdner bond traders publicly censured by the FSA in October 2009. This was the first time that a financial penalty was not imposed on someone found to have engaged in market abuse
- a UK fund manager being investigated by an overseas regulator in connection with alleged market abuse / insider dealing
- a senior individual within a leading international investment bank in relation to an investigation by the FSA into mis-marking
- a senior individual within a leading clearing bank in relation to an FSA investigation into alleged mis-reporting within the bank´s debt management arm
- an employee of a bank interviewed by the SFO as a witness in a long running corruption investigation