Financial services: investigations, discipline and dispute resolution

Overview

We have considerable expertise in contentious regulatory matters, including investigations, enforcement actions and dispute resolution.

We represent clients at all stages of the disciplinary and enforcement process under the Financial Services and Markets Act 2000, including at hearings before the Regulatory Decisions Committee and appeals to the Upper Tribunal.

Investigations 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.

Recognition

  • "Clients say: 'They're very good at understanding business concepts and equally good at explaining legal concepts in a clear way' and 'they are commercially aware and have taken time to understand our business. They are very aware of our regulatory obligations'."

    Chambers UK 2016

  • "I found them very supportive, very good at working as a team. They were pragmatic in their approach, which was particularly useful. My experience was superb."

    Chambers UK 2015

  • "They were excellent; I was impressed by them. They were responsive, eager to please and impress. I think generally they give you the feeling that you're a valued client. They make you feel like priority number one."

    Chambers UK 2015

  • "Excellent value for money, can't fault them at all. A class act as a firm - I was very impressed."

    Chambers UK 2015