Regulatory Investigations and Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators, in particular the UK Financial Conduct Authority and Prudential Regulation Authority and also by other regulators and prosecutors both in the UK and overseas. We also advise clients on challenging adverse decisions by regulators.
Services
ContactsOverview
Our highly experienced team includes a number of individuals who have worked at the regulators, giving us particular insight into the likely views of the regulators on issues requiring enforcement action or interventions.
Where a firm itself identifies a potential regulatory issue, we can advise on diagnostic internal investigations, notifications to the regulators and remedial action. We are frequently successful in enabling our clients to avoid enforcement action or other interventions by the regulators.
Sometimes enforcement action cannot be avoided. We are experienced in defending clients, including at the FCA's Regulatory Decision Committee and the PRA's Enforcement Decision Making Committee and on appeals to the Upper Tribunal and other fora.
Our team includes criminal prosecution experts, enabling us to provide a seamless service where criminal investigations are pursued concurrently with regulatory actions.
Featured experience
- We advised the Upper Tribunal’s decision in the Stuart Forsyth case overturning decisions by the FCA and PRA to fine the former CEO of a mutual insurer and prohibit him from working in financial services. The regulator’s approach to handling the investigation and enforcement proceedings against Mr Forsyth was heavily criticised by the Upper Tribunal and this led to the regulators making significant changes in their investigation and enforcement processes.
- Advising a global asset manager on investigations and enquiries by the FCA, the SEC and other global regulators following potential investment losses caused by a failure of its quantitative investment model. Also advising on litigation threatened by affected investors.
- Advising hedge fund management firms on internal investigations into potential market abuse by traders, including a number of assignments involving alleged "spoofing" behaviour. Successfully avoided enforcement action by the FCA.
Related services
Regulatory Investigations and Enforcement
We advise financial institutions facing investigations and enforcement action or other interventions by financial services regulators.
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Financial Services Regulatory
We provide expert advice on financial services regulation to banks, asset managers, securities brokers, insurers and insurance brokers, and financial advisers.
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Governance and Compliance in Healthcare
Working within our leading health and social care team, our governance experts specialise in helping health and social care organisations implement effective governance practices.
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Health and Social Care Regulatory
Our health and social care regulatory specialists will provide you with practical, strategic advice designed to help you resolve complex issues in this highly regulated sector.
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Inquests
Our experienced healthcare regulatory lawyers represent NHS and independent providers in inquest proceedings.
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Insurance Advisory
As a firm with insurance at the heart of its business, we understand the regulatory challenges faced by insurers, brokers and distributors.
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Internal Investigations
We advise clients on internal investigations into issues ranging from compliance breaches in regulated firms to any matter involving people and the workplace.
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International Sanction
We advise on compliance with financial and trade sanctions in the course of international business.
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Life Sciences
Our life sciences team advises many of the UK’s leading pharmaceutical companies, medical device, software, and AI manufacturers, as well as consumer healthcare suppliers and their insurers.
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Safety, Health and Environment
As a leading commercial law firm our specialist regulatory lawyers understand what is important to clients, when dealing with regulatory bodies such as the HSE, Environment Agency, or fire authority in the aftermath of an incident.
Learn moreWhat our clients say
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”Strong litigation team, which operates well to pull in resources from other specialisms across the firm where needed.
Legal 500 UK 2023 Edition, Commercial Litigation: Leeds And West Yorkshire; North Yorkshire, Yorkshire and the Humber
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”Really punches above its weight in commercial litigation. Very focused on achieving the best outcomes for clients on a cost-effective basis.
Legal 500 UK 2023 Edition, Commercial Litigation, Mid-market, London
Regulatory Investigations and Enforcement key contacts
Who we are
Why choose DAC Beachcroft?
We’re a broad-based commercial firm serving a wide range of sectors with a strong heritage in insurance,
health and real estate. We combine excellent legal skills and cutting-edge delivery expertise to design
solutions that fit the needs of our clients – often involving clever uses of technology.
Insurance
DAC Beachcroft is recognised as a pre-eminent advisor to the insurance market, and we place a strong emphasis on the long-term relationships we build with you so that we can really add value to your business.
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Health and Social Care
DAC Beachcroft is regarded as market leaders in the provision of corporate, commercial and regulatory legal advice to healthcare providers.
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Real Estate
With 170 lawyers we are one of the largest Real Estate legal teams in the UK. Our extensive network gives us national, regional and local knowledge and access.
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Financial Services
We regularly advise product designers and manufacturers, trade bodies, and retailers, distributors and venture capitalists looking to invest in the financial services sector.
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Technology
As long-standing and trusted advisers in the technology sector, we deliver pragmatic and innovative solutions that empower you to make informed decisions about how best to maximise your success.
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Industry Specialisms
We combine our in-depth sector knowledge with astute commercial awareness and global reach.
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