REGULATORY AND DISCIPLINARY
We provide experienced counsel to clients facing investigation by regulatory bodies and disciplinary boards and one of our partners spent six months working within the Financial Conduct Authority's Enforcement Market and Oversight Division. We are dealing with a criminal investigation being conducted by the Financial Conduct Authority following the collapse of an AIM listed company.
We have handled a range of issues including serious allegations of dishonesty and misconduct made against firms and solicitors by the Solicitors Regulation Authority and have succeeded in persuading the Solicitors Regulation Authority to take no regulatory action in some of these cases. We have dealt with internal police disciplinary proceedings and criminal tax investigations of professional firms, corporate clients (including a FTSE 250 company) and individuals.