Financial Regulatory Disputes

Comprising three partners supported by around a further 20 lawyers, we are a long-established team specialising in contentious regulatory matters, helping clients in their dealings with the PRA, the FCA and other UK and overseas financial regulators. Contentious regulation is our practice, so we understand regulatory expectations and what can actually be achieved in practice in what are often complex situations. We act for the full range of financially regulated firms across the retail and wholesale sectors as well as listed companies. We give clear, practical and confident advice on how to manage contentious matters and help clients deal with financial regulators on a daily basis.  

We handle the full range of contentious regulatory work including: 

• Contested approvals, authorisations and other applications
• Regulatory investigations and enforcement action against firms and individuals
• Enquiries, both internal and external
• Governance, SMCR and personal accountability reviews
• Internal investigations including advising on whistleblowing, conduct risk and conduct rule breaches
• Regulatory notifications
• Skilled person reviews
• Remediation and redress projects
• Market monitoring enquiries, market abuse and other market misconduct – both civil and criminal
• Financial crime – controls, investigations and remedial work
• Supervisory actions

We form part of one of the largest free-standing financial regulatory teams in the City and work alongside our advisory and transactional colleagues so that our clients benefit from lawyers who combine in-depth knowledge of the regulatory framework with a firm grasp of how markets and products work.  We are often involved in matters at an early stage and, by advising on remedial steps and optimal approaches, are able to help our clients successfully avoid regulatory intervention or action.  

Our specialist finance disputes teams  in London and Bristol, who undertake the full spectrum of litigation and arbitration, work closely with us to offer a fully joined up service to financial institutions.  Many of our disputes lawyers have gained hands-on experience working in-house in banks or other financial institutions.

Helping clients identify and manage risk to avoid the reputational damage and cost of a potential regulatory issue or dispute is an essential part of the value we offer.  We offer reviews of governance, procedures and controls as well as bespoke training sessions for senior managers and staff.   You are also invited to our regular seminars covering in-demand topics such as the new consumer duty, complaints handling, individual accountability, remediation projects and market abuse.