Corporate and Financial Regulation

We advise and represent companies and individual directors in investigations, tribunal proceedings and criminal prosecutions for insider dealing and market abuse brought under the financial services legislation. One member of the team was formerly enforcement counsel with the Financial Services Authority (FSA).

Members of the team are currently involved in defending and prosecuting some of the first criminal cases brought by the FSA and we have unrivalled experience in this area.

With our collective expertise in financial crime, asset tracing, commercial law and disciplinary proceedings we are able to able to assist clients from the earliest stage, and in particular can advise on the powers of the FSA, the seizure of documents, the course of an FSA investigation and the conduct of interviews by the regulatory authorities. Given our international experience, we can also advise clients on compliance with the relevant legislation and codes and so facilitate their doing business in overseas jurisdictions. A number of members of the team are registered to take Direct Access work.

Members have appeared before the Special Commissioners, Competition Appeal Tribunal and the Regulatory Decisions Committee of the Financial Services Authority. We represented the successful applicant in the first decision to be handed down by The Financial Services and Markets Tribunal against the FSA (Baldwin & WRT Investment Limited v Financial Services Authority).