Supervision, Investigations and Enforcement

We support clients in managing strategic relationships with their regulators (including the FCA, PRA, PSR and Lloyd’s), helping them communicate proactively and effectively, including notifications, authorisations, approvals and ongoing supervision.

We work with clients to manage their responses to supervisory intervention by the regulators, including where the regulators are proposing requirements (VREQ and OIREQ), attestations and undertakings, or mandating remediation or redress.  

We carry out external reviews of compliance and control frameworks, governance and the Senior Managers and Certification Regime, identifying opportunities for enhancement and producing reports with realistic, targeted recommendations for improvement. 

Our lawyers have acted as skilled persons in areas such as financial crime, governance and systems and controls.  We also support clients in managing skilled person reviews across a wide range of other matters, including the Consumer Duty.

We regularly advise clients on proactive remediation of issues arising in their business, and on the design and operation of consumer redress schemes, including in areas such as insurance, financial crime, consumer credit, and consumer investments. 

We carry out whistleblowing investigations in a wide range of contexts - analysing evidence, conducting interviews and producing investigation reports.  Examples include non-financial misconduct, control frameworks, governance and financial crime.

We represent the interests of corporate and individual clients under investigation by the FCA, PRA, PSR and Lloyds, from the initiation of the investigation through to settlement, and in cases before the Upper Tribunal and in the courts.