Financial Services Investigations

We have unparalleled experience advising financial institutions, major corporates and their senior executives on their most significant, complex and reputationally sensitive matters.

We are not purely reactive. It is vital to get on the front foot and to engage constructively with regulators before they reach conclusions. We have deployed this approach to secure successful outcomes for many clients.

Our clients benefit from our excellent insight into the workings of regulatory bodies and interactions between them. Our team includes individuals who have worked in the enforcement divisions of many of the most active regulators, including the DOJ, SEC, FCA, PRA and SFC.

An integrated practice

Our contentious regulatory lawyers work with – and within – our advisory and regulatory risk advisory, litigation, arbitration & investigations, business crime, financial crime and money laundering, antitrust and foreign Investment, data privacy, banking, corporate and governance, and employment and incentives teams. In this way, we seamlessly cover every issue arising out of an investigation, enforcement action, supervisory inquiry or assertive supervisory intervention, as well as the consequences for our clients.

Our advisory lawyers provide market-leading advice to institutions on regulatory compliance and managing and responding to the risks occasioned by regulatory change. Our combined approach means that, not only are we better able to help clients anticipate and mitigate the risk of regulatory non-compliance, but we are also able to advise clients and, where necessary, advocate authoritatively to regulators on the underlying rules and regulations at issue in an investigation or supervisory intervention.

Our international network enables us to provide seamless advice and global strategic co-ordination of cross-border regulatory investigations involving multiple authorities and jurisdictions.