Regulatory Enforcement

We understand that there are times when unscheduled events happen within your business which require a specific response and which sometimes require professional assistance to help to secure the best outcome.

We have experience in the following areas:-

–  assisting clients with managing breach situations including communicating with the Regulator, developing a remedial action plan and liaising with the Regulator in relation to agreed actions;

–  helping clients with post supervisory visit report actions including liaising with the Regulator in relation to progress against an agreed timetable;

–  advising on regulatory enforcement action and appeals (our team advised on the first full contested appeal hearing before the Financial Services Appeal Tribunal);

–  advice and project management of information requests from foreign authorities under our TIEA network, criminal justice and insolvency regimes including advising on formal investigations; and

–  advising on money laundering investigations and prosecutions.

Regulatory Enforcement Contacts