Réglementation et enquêtes

Clyde & Co s’assure que ses clients disposent du soutien technique et pratique approprié pour se conformer à la réglementation en constante évolution et pour gérer les risques liés à la fraude et à la corruption.

Renforcer la résilience dans les cadres réglementaires mondiaux

La conformité réglementaire est une préoccupation majeure pour les entreprises du monde entier, dans chaque profession et chaque secteur commercial. Les cadres juridiques dans lesquels les organisations opèrent évoluent, souvent à grande vitesse, puisque les régulateurs cherchent toujours à étendre et à affiner leur pouvoir et leur influence.

En tant que cabinet d’avocats d’envergure mondiale, nous aidons nos clients à renforcer leur résilience face à une réglementation de plus en plus complexe, à l'échelle locale et internationale. Cela implique souvent un soutien transfrontalier et multi-juridictionnel pour s’assurer qu’ils atteignent et maintiennent la conformité au sein de leur entreprise.

Nous avons l’expérience et les connaissances nécessaires pour renforcer la conformité dans les cadres réglementaires établis, et avons la capacité de fournir des réponses rapides et détaillées face aux nouvelles réglementations et exigences légales.

Au cœur de notre approche se trouve la conviction que la conformité ne doit pas imposer d'inutiles fardeaux onéreux à une organisation et que l’assimilation des exigences réglementaires doit entraîner le moins de perturbations possible.

Comme les enquêtes sont en hausse, nous aidons nos clients à démontrer leur volonté de coopérer avec l’organisme de réglementation concernée pour obtenir un résultat satisfaisant rapidement. Nous veillons également à ce que nos clients puissent mener des enquêtes internes rapides et efficaces pour prendre toutes les mesures appropriées, le cas échéant.

Lorsque les enquêtes mènent à des poursuites pénales, nous conseillons les entreprises et les particuliers sur les problèmes potentiels en matière de responsabilité et nous leur indiquons leurs options de défense. Notre réseau de bureaux, à l’échelle mondiale, nous permet de demeurer à la disposition de nos clients partout et en tout temps dans l'intérêt de nos clients.

Notre travail en réglementation et enquêtes

  • Tout
  • Afrique
  • Amérique du Nord
  • Amérique latine
  • Asie-Pacifique
  • Moyen-Orient
  • Royaume-Uni et Europe
  • Advised an oil and gas producer

    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.

    Brésil

    Advised the Amsterdam branch of a major European bank

    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.

    Brésil

    Advising London Underwriters

    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.

    United States

    Advising on South American trades

    Advising on South American trades where AML issues pertaining to local tax requirements.

    Mexico

    Advising trader

    Advising trader on criminal aspect returning the regular court proceeding.

    United States

    Conducting an internal investigation for a commodities trading

    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.

    Brésil

    Represented a broker before FINRA

    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.

    United States

    Representing a global insurer

    Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.

    United States

    Representing a group of insurers in the evaluation of claims

    Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.

    United States

    Representing Lloyd's Syndicates

    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.

    United States
  • Assisting client in South Africa

    Assisting client in process of debarment representatives. 

    South Africa

    Assisting client in bringing application to the FST

    Assisting client in bringing application to the FST for reconsideration of decision by the PA to refuse variation of licence conditions.

    South Africa

    Inspection of pathology and radiology practice groups

    Inspection of pathology and radiology practice groups to obtain evidence of alleged perverse incentives and kickbacks, interviewing employees, analysis of evidence and drafting reports.

    South Africa

    Investigation of hospital groups

    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.

    South Africa

    Representing client on FSCA

    Assisting client to make representations to FSCA in relation to investigation on commission structure following anonymous tip-off.

    South Africa

    Engaging with FSCA

    Engaging with FSCA regarding potential policyholder dispute and contractual dispute pursuant to termination of binder agreement between non-life insurer and its binder holder.

    South Africa

    On-site inspection by PA

    Advising clients of procedures and entitlement during anticipated on-site inspection by PA.

    South Africa

    Broker and insurer allegations of conflicts of interest

    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.

    South Africa

    Alleged exchange control breaches

    Engaging with the Reserve Bank in relation to alleged exchange control breaches by client in relation to intermediation on CFD transactions.

    South Africa

    Investigation into client’s business

    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.

    South Africa
  • Conducting an internal investigation for a commodities trading

    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.

    Brésil

    Advised the Amsterdam branch of a major European bank

    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.

    Brésil

    Advised an oil and gas producer

    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.

    Brésil

    Representing a global insurer

    Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.

    United States

    Representing Lloyd's Syndicates

    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.

    United States

    Advising trader

    Advising trader on criminal aspect returning the regular court proceeding.

    United States

    Representing a group of insurers in the evaluation of claims

    Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.

    United States

    Advising London Underwriters

    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.

    United States

    Represented a broker before FINRA

    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.

    United States

    Energy sector merger notification 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.

    Brésil
  • Advising on South American trades

    Advising on South American trades where AML issues pertaining to local tax requirements.

    Mexico
  • Acting for an ASX-listed company

    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.

    Chine

    Acting for a Chinese state-owned enterprise

    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.

    Chine

    Representing insurer

    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.

    Chine

    Investigation into allegations of corruption made by the Indonesian authorities

    Advising a client in the aviation industry in relation to allegations of bribery and corruption involving a state owned entity.

    Indonésie

    Advising on anti-bribery and corruption allegations

    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

    Australie

    International Air Transport Association - travel agent fraud claim

    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

    Inde

    World Trade Organisation EU public procurement rules

    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)

    Indonésie

    Defending Air New Zealand

    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

    New Zealand

    National government implementation of UN financial sanctions

    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

    Singapore

    Implementing UN financial sanctions against Libya

    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

    Singapore
  • Conducting investigations on a UAE-based international construction company

    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.

    United Arab Emirates

    Representing and initiating criminal proceedings

    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.

    United Arab Emirates

    Advising businesses, shipowners and insurers

    Advising businesses, shipowners and insurers on the effects and application of the restrictions imposed by the UAE and KSA against Qatar.

    United Arab Emirates

    Advice on US sanctions

    Advising insurance, reinsurance, shipping and corporate clients on US sanctions in Iran, North Korea, Cuba, Sudan, Syria and Somalia

    Iran

    Iraqi Government

    Drafting the Free Zone Laws for Iraq.

    Irak

    Advising traders on region-specific sanctions

    Advising trading companies on issues arising from sanctions against doing business in, among other places, Iraq and Syria

    Irak

    Unlawful expropriation of assets and property

    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

    Saudi Arabia

    AECOM

    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...

    United Arab Emirates

    Meydan Free Zone

    Drafting the employment regulations for the Meydan Free Zone.

    United Arab Emirates

    UAE Regulator

    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.

    United Arab Emirates
  • Competition Compliance and dealings with EU Distributors

    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).

    United Kingdom

    Sanctions advice for a trade association

    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.

    United Kingdom

    Banking sector claims validation advice

    Advising the CEO and directors of a large Eastern European/Russian Bank in a multimillion dollar fraud case.

    Russian Federation

    Investigation into alleged sexual misconduct

    Conducting an internal investigation into allegations of sexual misconduct for a client in a regulated industry and advising on reporting requirements.

    United Kingdom

    EU Emissions fraud in the European Registry

    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

    Switzerland

    Advised on D&O/PI cover for a leading national accounting firm

    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.

    United Kingdom

    EU investigation of air cargo services

    Representing a leading global air cargo operator in the ongoing EU investigation of air cargo services

    United Kingdom

    Fraud investigations advice

    Conducting internal investigations into fraudulent activities of third parties, employees and agents and advising clients on how best to prevent fraud within their organisation

    United Kingdom

    EU investigation of a chemical tanker operator

    Represents a global chemical tanker operator in the ongoing EU investigation of parcel tanker services

    United Kingdom

    FSA bribery and corruption investigation

    Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.

    United Kingdom

Our Regulatory & Investigations Team

Chris Hill
Chris Hill

Partner

David Leckie
David Leckie

Partner

Kenneth P. Quinn
Kenneth P. Quinn

Partner

John Whittaker
John Whittaker

Partner

Fergal Cathie
Fergal Cathie

Partner

Charles Kuhn
Charles Kuhn

Partner

Matthew Lam
Matthew Lam

Partner

Douglas Maag
Douglas Maag

Senior Counsel

Patrick Murphy
Patrick Murphy

Partner

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