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.
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Un mot de nos partenaires
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”Je voulais juste partager une note rapide et vous faire savoir que vous faites un très bon travail. Je suis content d'avoir décidé de travailler avec vous. C'est vraiment formidable de voir à quel point vos sites Web sont faciles à mettre à jour et à gérer
Ross Elder
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Je voulais juste partager une note rapide et vous faire savoir que vous faites un très bon travail. Je suis content d'avoir décidé de travailler avec vous. C'est vraiment formidable de voir à quel point vos sites Web sont faciles à mettre à jour et à gérer
Ross Elder
Regulatory Investigations and Enforcement key contacts
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Pourquoi choisir DAC Beachcroft ?
Nous sommes un cabinet commercial à large assise, au service d'un grand nombre de secteurs, avec un solide héritage dans les domaines de l'assurance, de la santé (
) et de l'immobilier. Nous combinons d'excellentes compétences juridiques et une expertise de pointe en matière d'exécution pour concevoir des solutions
qui répondent aux besoins de nos clients - souvent en utilisant intelligemment la technologie.
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Santé et soins sociaux
DAC Beachcroft est considéré comme le leader du marché dans la fourniture de conseils juridiques aux prestataires de soins de santé en matière de droit des sociétés, de droit commercial et de droit réglementaire.
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Nous combinons notre connaissance approfondie du secteur avec une conscience commerciale astucieuse et une portée mondiale.
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DAC Beachcroft est reconnu comme un conseiller de premier plan sur le marché de l'assurance, et nous mettons l'accent sur les relations à long terme que nous établissons avec vous afin d'apporter une réelle valeur ajoutée à votre entreprise.
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Avec 170 avocats, nous sommes l'une des plus grandes équipes juridiques du Royaume-Uni dans le domaine de l'immobilier. Notre vaste réseau nous permet d'accéder à des connaissances nationales, régionales et locales.
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En tant que conseillers de longue date et de confiance dans le secteur des technologies, nous proposons des solutions pragmatiques et innovantes qui vous permettent de prendre des décisions éclairées sur la meilleure façon de maximiser votre succès.
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