Practice areas

We have considerable expertise and an excellent track record in contentious regulatory matters, investigations and investment business advice.  From representation of the Securities Association and the Securities Investment Board following Big Bang, to the present day, we have developed substantial experience advising financial institutions and other investment businesses in investigations and proceedings relating to financial services and markets.

We represent clients in relation to investigations by the Financial Services Authority pursuant to its wide ranging powers under the Financial Services and Markets Act 2000. We also have substantial experience of representing clients in relation to investigations and enquiries instigated by other regulators or government agencies and members of our team have conducted investigations on behalf of financial institutions and hedge funds in relation to FSA-regulated investment business.

Investigations also often give rise to associated legal issues concerning compliance with senior management responsibilities, directors' duties, breach of confidence and employment matters in which we also have extensive experience.