Regulatory investigations & professional negligence
However much the government moves to simplify regulation, the burden just gets wider and heavier.
This is a lawyer’s feast. We are experts in regulation, but we approach regulation from your perspective.
We work hard to understand your commercial markets and to tailor our advice to give you practical, workable guidance, not pages of legal analysis.
Much of our work has been in helping clients who have found themselves the subject of regulatory investigation. We have experience of running and defending investigations across a number of markets, including:
- Financial services, including futures markets, listing rules, city code, financial advice and insurance across a number of jurisdictions
- Travel, including ABTA and the TTA
- Aviation, including the CAA, IATA and other international organisations
- Competition, at UK and European level, as well as Trading Standards
- Media, and other markets
Our partners have run investigations on behalf of regulators and have defended a range of investigations and proceedings. However, we also advise on how to deal with regulators at an earlier stage so as to minimise the risk of an investigation taking place and to keep the regulator’s interest in your business to what is actually required. Further, we can provide compliance advice and guidance, as well as assisting with strategic planning and lobbying where rules need to be changed.
Financial services regulation is an area of particular expertise within our team and in recent years we have been involved in a range of financial, statutory or regulatory investigations and disciplinary proceedings.
We offer proactive advice for regulators, insurance companies, IFAs and other market participants alike to enhance their understanding of the regulatory regime.
We regularly work closely with insurance companies and brokers on contracts, agreements and delegated authority schemes, as well as complex dispute resolution and disciplinary investigations.
Areas of particular interest include market manipulation and insider dealing, compliance issues such as money laundering, perimeter guidance, negligent advice and other issues.
We understand that taking professional advice can be an expensive and unrewarding business.
We have a wealth of experience in professional negligence actions relating to advice and representation by numerous professions including solicitors, surveyors and financial advisers. We work with you to set realistic objectives and to resolve matters successfully on your behalf.
Our experience acting for the Department of Business Innovation and Skills (DBIS) on prosecutions under the Company Directors Disqualifications Act 1986 gives us a unique insight of both sides of these actions.
As a director or senior officer, we provide guidance on your duties and responsibilities to your business and stakeholders. And through our in-depth knowledge of the disqualification process, we can help you avoid prosecution and defend any proceedings brought under the Act (please see our page on Directors Disqualification).
For more information on regulatory investigations and professional negligence and to start a conversation on how we can help you please contact Jonathan Stevens, Partner, Head of Dispute Resolution.