Financial services investigations & enforcement

Our team has handled some of the most significant and reputationally sensitive investigations and disciplinary proceedings across the industry. Our experience includes enforcement investigations, including those involving multiple regulators, in addition to internal and whistleblowing investigations.

We are highly experienced at advising firms and senior managers on a broad range of issues including governance, systems and controls, non-financial misconduct, culture, operational resilience, cyber security incidents, AML and ABC, mis-selling, financial promotions, the treatment of customers, accountability and regulatory reporting.

Our cross-discipline team works alongside our Compliance, Litigation, Economic Crime, Data Privacy, Banking, ESG, Corporate and Employment specialists. That means we provide holistic advice and end to end support throughout the duration of an investigation. We know when to engage the right specialisms and in a manner that is seamless and effective.

Our unrivalled record of working with major firms across many disciplines means we have a deep-rooted understanding of the sector, products, inner workings of operational teams and governance structures. This sets us out from our competitors; we can easily grasp the issues at play and provide practical advice on risk, reputation and financial mitigation.

Through our exposure to multiple regulators, including team members who have worked within regulatory bodies, we are well versed at spotting trends and constructive and pragmatic engagement.

Our high-quality legal expertise is bolstered by our flexible resourcing models, dedicated LPM and Legal Analyst support and innovative tech solutions, all of which are designed to balance efficiency, cost and quality.

• Acting for a global corporation in connection with one of the UK’s largest cyber security incidents and enforcement investigations instigated by multiple regulators (FCA, ICO, tPR).
• Advising several firms on highly sensitive whistleblowing and conduct investigations, including in relation to non-financial misconduct.
• Supporting a clearing bank with an investigation following contact by a non-for-profit whistleblowing organisation alleging whistleblowing detriment.
• Advising a divisional CEO subject to investigation regarding allegations of misleading statements to the market.
• Acting for a clearing bank on a highly confidential investigation concerning the conduct of senior managers in connection with a remediation programme linked to an enforcement investigation.