Regulatory risk | 监管法规与调查
AFSL – Making a market, or a mess?
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Our clients include financial institutions, national and international companies that offer financial products, individuals and authorised individuals, investment houses, regulators, leading investment banks, insurers, insurance intermediaries and reinsurers.
We assist clients in navigating the complex and ever evolving financial services regulatory environment and assist in managing cross-border compliance and risk.
We have a close relationship with a wide range of financial services regulators, with many of the team having worked in those organisations, which means we understand the challenges our clients face.
Our financial services team has significant experience in advising on complex disputes relating to financial instruments and banking litigation. We act for regulated firms and individuals, both for and against the regulators.
Our team also specialises in fraud and asset recovery actions.
Advising a trading company authorised by the FSA on the regulatory implications of setting up an overseas office including a review of both UK and local law
Advising a panel of insurers of a Bankers Blanket Bond (fidelity section) for a major retail bank. Substantial losses to customers had arisen from a complex series of frauds by a bank employee
Advising a collective investment scheme investing in commercial property on the financial promotion implications of its fundraising activities
Acting for fidelity and crime insurers in investigations of fraudulent schemes in the US, Canada, Japan, Argentina and Bermuda
Advising a bank on internal regulatory policies including whistle-blowing procedures in response to complaints made by a former employee
Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.
Advising an individual research analyst during FSA enforcement proceedings following failures to comply with FSA principles of conduct for approved persons, by providing information to non-authorised persons regarding research findings on a stock, prior to the research note’s publication
Advising a UK company on whether the nature of its activities required authorisation by the FSA
Advising the board of a FTSE 100 company regarding an investigation into an alleged breach of the Listing Rules through non-publication of price-sensitive information of a share buy-back programme
Advising German financial services professionals on the cum-ex proceedings in Germany.
Advising a trading company authorised by the FSA on the regulatory implications of setting up an overseas office including a review of both UK and local law
Advising a panel of insurers of a Bankers Blanket Bond (fidelity section) for a major retail bank. Substantial losses to customers had arisen from a complex series of frauds by a bank employee
Advising a collective investment scheme investing in commercial property on the financial promotion implications of its fundraising activities
Acting for fidelity and crime insurers in investigations of fraudulent schemes in the US, Canada, Japan, Argentina and Bermuda
Advising a bank on internal regulatory policies including whistle-blowing procedures in response to complaints made by a former employee
Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.
Advising an individual research analyst during FSA enforcement proceedings following failures to comply with FSA principles of conduct for approved persons, by providing information to non-authorised persons regarding research findings on a stock, prior to the research note’s publication
Advising a UK company on whether the nature of its activities required authorisation by the FSA
Advising the board of a FTSE 100 company regarding an investigation into an alleged breach of the Listing Rules through non-publication of price-sensitive information of a share buy-back programme
Advising German financial services professionals on the cum-ex proceedings in Germany.
Advising the Qatar Financial Centre Regulatory Authority on the draft implementing regulations for the insurance sector to be issued by the Qatar Central Bank pursuant to the QCB Law; including undertaking an extensive benchmarking exercise against the insurance laws and regulations of the GCC
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