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Financial Regulatory Disputes

United Kingdom

As a financial services business, the daily challenges you face in doing business in a highly regulated, cost pressured environment mean you need advisers who have an unparalleled understanding of the regulators’ expectations, how they apply to your business and are commercial, practical and resourceful.

Our financial regulatory disputes team has represented firms and individuals in over 400 investigations brought by the FCA and the PRA (and their predecessors) as well as overseas regulators across the retail and wholesale sectors and is known for its success in keeping clients out of enforcement.

They provided an excellent, very partner-led, personable service.
Chambers UK, 2015

We have been involved in advising clients on all of the most significant regulatory matters of recent times including governance, retail misselling, client money, PPI, financial crime controls, LIBOR, FX, IRHPs complaints handling, consumer credit, mortgage lending and claims by the FSCS.

We also advise clients on handling s166 skilled person reports, past business reviews, making regulatory notifications, carrying out internal investigations and in responding to supervisory and thematic visits and regulatory enquiries as well as dealing with the Financial Ombudsman Service.

First class for handling complex regulatory matters for clients across the industry.
Legal 500 UK, 2014

Helping you identify and manage risk in order to avoid the reputational damage and cost of a potential dispute is an essential part of the value we offer. We offer reviews of your procedures and controls, and bespoke training sessions for your senior managers and staff. You are also invited to our regular seminars covering in-demand topics such as the Senior Persons Regime, Treating Customers Fairly, complaints handling and market abuse.

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