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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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High­lights of our ex­per­i­ence in Fin­an­cial Ser­vices Dis­putes in the UK
A large UK in­surer on sig­ni­fic­ant reg­u­lat­ory is­sues arising in its busi­ness and sales pro­cess. Our ad­vice has helped the cli­ent to avoid reg­u­lat­ory ac­tion and a s166 skilled per­son re­quire­ment and en­abled them to pro­ceed with pro­posed re­medi­ation act
Law-Now: Dis­pute Res­ol­u­tion
Vis­it Law-Now for leg­al know-how and com­ment­ary

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10 September 2020
Priv­ilege: What you need to know
Priv­ilege - what you need to know - CMS guide. You can find out more and down­load the guide here.
18 April 2017
Dis­putes di­gest
This edi­tion in­cludes up­dates on cur­rent con­ten­tious is­sues, in­clud­ing dis­putes in elite level sport, pro­gress in the High Court’s ‘Fin­an­cial List’, and re­cent cases on ag­greg­a­tion of claims and ex­clu­sion of li­ab­il­ity in com­mer­cial con­tracts.
29 September 2016
Dis­putes di­gest
This edi­tion in­cludes up­dates on cur­rent con­ten­tious is­sues, in­clud­ing dis­putes in elite level sport, pro­gress in the High Court’s ‘Fin­an­cial List’, and re­cent cases on ag­greg­a­tion of claims and ex­clu­sion of li­ab­il­ity in com­mer­cial con­tracts.
25/11/2015
Dis­putes Di­gest - cur­rent leg­al is­sues af­fect­ing the mar­ket