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Regulatory Investigations


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The firm has specialised for nearly ten years in Financial Services Regulation, both from the standpoint of training, systems review, design and implementation as well as the investigation of regulatory breaches.

We commonly work with client and the particular regulatory authority to clarify possible regulatory breaches and to instigate new systems so as to avoid any recurrence.

We have worked in particular with overseas firms that are entering the London market and have conducted reviews and implemented new systems, by way of illustration, for the following organisations:-

 A London branch of a major Spanish bank who required a complete review of their compliance to Anti-Money laundering legislation - in that case we created their compliance manuals and systems as well as reviewed high risk client files.

The subsidiary of a major Japanese re-insurance company that needed a review of its compliance systems.

A New York investment brokerage setting up an office in the City needed assistance in ensuring its application to the FSA met all the necessary compliance requirements.