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A comprehensive and unparalleled view on regulations and investigations
With the global regulatory landscape evolving rapidly, and compliance regimes becoming increasingly rigorous, wide-ranging, and complex; coupled with regulators gaining progressively broad powers and law enforcement authorities imposing greater controls, regulatory issues pose growing and significant legal and reputational risk for organisations and individuals alike.
Our global Regulatory & Investigations team has the necessary experience and knowledge to bolster risk and compliance in established regulatory frameworks, and provide rapid, detailed responses to new regulatory requirements and risks as they arise.
The team has acted on some of the world’s highest profile investigations, including prominent regulatory inquiries, regulatory enforcement, criminal investigations and prosecutions, and related civil litigation.
Our combination of deep sector knowledge, expertise across regulatory fronts, and an interconnected global network enables us to provide a comprehensive and joined-up services to our clients, wherever and whenever they operate.
From compliance and risk management matters, throughout internal and regulatory investigations, enforcement action, to remediation and recovery, we provide our clients with a full suite of regulatory and investigations service.
We have on-the-ground support in emerging markets including Africa, the Middle East, Asia and Latin America, as well as deep experience in the mature regulatory and enforcement markets of the United States, United Kingdom, Europe, Australia and Canada.
We advised an oil and gas producer on exploration and production contracts in Brazil subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.
Advised the Amsterdam branch of a major European bank on a USD 100 million medium-term syndicated structured export prepayment facility to finance the storage of export of soy beans in and from Brazil.
Advising London Underwriters in the investigation of an alleged USD 9 million diamond robbery which was eventually established as fraudulent, and the owners subsequently convicted of insurance fraud.
Advising on South American trades where AML issues pertaining to local tax requirements.
Advising trader on criminal aspect returning the regular court proceeding.
Conducting an internal investigation for a commodities trading client into allegations of corruption by the Brazilian authorities and advising the client on the SFO’s investigation.
Represented a broker before FINRA in connection with investigation into and enforcement of rule violations arising out of unauthorized discretionary trading activity over a multiple-year period.
Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.
Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.
Representing Lloyd's Syndicates and other foreign insurers in a series of litigations through the United States over the fortuity of losses in gold transactions.
Assisting client in process of debarment representatives.
Assisting client in bringing application to the FST for reconsideration of decision by the PA to refuse variation of licence conditions.
Inspection of pathology and radiology practice groups to obtain evidence of alleged perverse incentives and kickbacks, interviewing employees, analysis of evidence and drafting reports.
Investigation of hospital groups to establish the referral system between doctors practising within the hospital and the hospital itself, including rental discounts and referral targets placed on doctors.
Assisting client to make representations to FSCA in relation to investigation on commission structure following anonymous tip-off.
Engaging with FSCA regarding potential policyholder dispute and contractual dispute pursuant to termination of binder agreement between non-life insurer and its binder holder.
Advising clients of procedures and entitlement during anticipated on-site inspection by PA.
Engaging with the FSCA on behalf of a broker and insurer who form part of the same group relating to allegations of conflicts of interest and alleged failure to comply with TCF obligations by policyholder accused of fraud.
Engaging with the Reserve Bank in relation to alleged exchange control breaches by client in relation to intermediation on CFD transactions.
Making submissions to the FSCA on behalf of client in relation to investigation into client’s business and potential withdrawal of licence based on breaches of financial services legislation.
Acting for an ASX-listed company in respect of a major internal fraud investigation of a subsidiary entity including advising the company on regulatory issues, potential criminal prosecution and ongoing fraud proceedings.
Acting for a Chinese state-owned enterprise in an investigation by the World Bank involving allegations of fraud and corruption in connection with an infrastructure project in Eastern Europe.
Representing an insurer in respect of a criminal corruption prosecution commenced against senior executives of a multinational corporation in respect of claims arising under a Directors' and Officers' Liability Policy and a Crime Policy.
Advising a client in the aviation industry in relation to allegations of bribery and corruption involving a state owned entity.
Advising a multinational corporation on its anti-bribery and corruption obligations and resolving alleged concerns held by the Australian Federal Police and a regulator that the corporation had breached those obligations
Advising 32 airlines and the International Air Transport Association on a series of major frauds allegedly committed by various travel agents involving money laundering and the issuance of millions of pounds worth of tickets without accounting to the airlines
Advised a metal producer on World Trade Organisation (WTO) law issues arising from a proposed ban by Indonesia on the export of iron ore. We also advised on the possibility of producers coordinating a response to such an initiative, within the bound permitted by competition laws in the EU and globally (including US and Canada)
Successfully defending Air New Zealand in the EU Commission’s extensive proceedings against 20+ airlines accused of cartel infringements in the air cargo sector. The investigation led to 11 airlines being given fines totalling EUR 800 million
Providing advice on the implementation of UN financial sanctions by Singapore; whether Singapore has implemented UN Security Council Resolution 1970 (2011) against Libya; and whether Singapore has expanded its list of designated persons following the implementation of EU Regulation 503/2011
Advising a leading international trading organisation on the implementation of UN financial sanctions against Libya by Singapore and whether Singapore has expanded its list of designated persons following the implementation of EU Regulation 503/2011
Conducting an internal investigation for a commodities trading client into allegations of corruption by the Brazilian authorities and advising the client on the SFO’s investigation.
Advised the Amsterdam branch of a major European bank on a USD 100 million medium-term syndicated structured export prepayment facility to finance the storage of export of soy beans in and from Brazil.
We advised an oil and gas producer on exploration and production contracts in Brazil subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.
Advising on South American trades where AML issues pertaining to local tax requirements.
Advising an oil and gas producer on exploration and production contracts subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.
Advising Brazilian developers of renewable energy projects on agreements for the forward sale of carbon credits, reviewing CDM emission reductions purchase agreements and regulatory requirements
Conducting investigations and advising a UAE-based international construction company following allegations that large government contracts had been procured through bribery, and advising on necessary remedial action.
Representing and initiating criminal proceedings against a number of individuals following allegations of money laundering, fraud and misappropriation in UAE criminal proceedings, and defending and successfully lifting Interpol Red Notices.
Advising businesses, shipowners and insurers on the effects and application of the restrictions imposed by the UAE and KSA against Qatar.
Advising insurance, reinsurance, shipping and corporate clients on US sanctions in Iran, North Korea, Cuba, Sudan, Syria and Somalia
Drafting the Free Zone Laws for Iraq.
Advising trading companies on issues arising from sanctions against doing business in, among other places, Iraq and Syria
Advising Saudi investors in relation to an ICSID arbitration, BIT treaties and alternative enforcement mechanisms regarding the unlawful expropriation of assets and property by the Egyptian government arising out of the Arab Spring
Advising AECOM in respect of its restructuring of a substantial number of operating companies carrying out business throughout the Middle East following its merger with Cansult/Maunsell. This instruction comprised a substantial due diligence exercise into the various operating companies and advice on the legal and regulatory regime of four Emirates in the UAE, KSA, Qatar and Oman for the implementation of the restructuring with a view to streamlining AECOM's operations throughout the region...
Drafting the employment regulations for the Meydan Free Zone.
Advising this UAE regulator on its framework law including conducting a detailed benchmarking exercise, advising on policy matters and implementation of the law and redrafting legislation. This project interfacing with a number of other government departments.
Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.
Representing Lloyd's Syndicates and other foreign insurers in a series of litigations through the United States over the fortuity of losses in gold transactions.
Advising trader on criminal aspect returning the regular court proceeding.
Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.
Advising London Underwriters in the investigation of an alleged USD 9 million diamond robbery which was eventually established as fraudulent, and the owners subsequently convicted of insurance fraud.
Represented a broker before FINRA in connection with investigation into and enforcement of rule violations arising out of unauthorized discretionary trading activity over a multiple-year period.
Advising a worldwide leading risk management and insurance intermediary on numerous regulatory and compliance issues in Canada
Advising a technology company on EU and UK competition issues arising from dealings with distributors and with competition compliance checks on their UK subsidiaries. This has included compliance audits on the UK subsidiaries followed by privileged communication on amending practices as necessary (e.g. export restrictions).
Advising a trade association on the consequences of a party to an arbitration under its rules becoming a sanctioned entity based upon UK, EU and US sanctions advice.
Advising the CEO and directors of a large Eastern European/Russian Bank in a multimillion dollar fraud case.
Conducting an internal investigation into allegations of sexual misconduct for a client in a regulated industry and advising on reporting requirements.
Advising regarding an EU Emissions fraud in the European Registry which caused the market to stop trading for a short period of time after a number of legitimate players found themselves subject to litigation regarding related property rights and emissions
The FSA led an investigation into operations systems and controls (FS regulated advice). This raised questions regarding the nature and extent of our client's cover. We were therefore required to advise as to the adequacy of this cover. We then assisted with the transition of our client into another accountancy firm.
Representing a leading global air cargo operator in the ongoing EU investigation of air cargo services
Conducting internal investigations into fraudulent activities of third parties, employees and agents and advising clients on how best to prevent fraud within their organisation
Represents a global chemical tanker operator in the ongoing EU investigation of parcel tanker services
Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.
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