A leading global custodian and securities services provider on an AMF investigation into its fund depositary business.
The wealth management business of a leading global financial institution on an FCA investigation into the adequacy of the supervision, risk management and control arrangements in place for overseeing the provision of advice – closed with no action taken.
A major UK retail financial institution and a UK asset manager in relation to a large FCA investigation into their systems and controls and connected issues regarding internal escalation and FCA reporting.
A global bank on compliance with Hong Kong codes of conduct and on the process and procedure of enforcement actions and settlement.
A global investment bank on complex cross-border regulatory investigations (including in the UK) into financial crime systems and controls connected with origination of substantial transaction, including due diligence, disclosure, reputational risk, senior manager oversight, conflicts of interest and associated governance arrangements.
A leading global financial institution advising in relation to a global regulatory investigation into the adequacy of the firm’s systems and controls for the review, approval and execution of certain high value, higher risk, transactions, including investigations by the PRA and FCA.
A UK e-money and payment services firm on an FCA investigation into alleged financial crime and sanctions screening issues and associated systems, controls and governance.
A Dutch payment services provider on a Dutch Central Bank investigation into its AML/CFT compliance.
A former country manager of a major multi-national financial institution on a cross-border DOJ and SFO investigation in relation to potential money laundering activities.
A senior executive of a large financial institution on an FCA investigation for senior manager conduct rules issues including reasonable steps to control the business effectively and effectively oversee delegations.
A senior executive on an SEC investigation of a global financial firm’s regional hiring practices.
A Head of Compliance of a major broker on an FCA investigation – closed with no action taken.