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Enforcement and Investigations

Delivering proportionate and efficient responses to potential and emerging problems

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One of the most notable aspects of the transforming global regulatory landscape has been the dramatic increase in the number, complexity and severity of investigations and enforcement actions undertaken by regulators at all levels.

Whether it is for alleged manipulation of inter-bank or foreign exchange rates, violation of anti-money laundering and sanctions rules, corruption concerns or market abuse, coordinated national and international investigations are on the rise. Moreover, the resulting damage – in internal costs and time, regulatory or criminal penalties and reputational or commercial losses – can be severe. 

We provide our clients with world class advice in relation to internal and external investigations, whether domestic or cross-border drawing on our global network and deep understanding of both regulations and regulators.

Our integrated financial services regulatory team spans over 25 countries across Europe, North America, Asia Pacific and the Middle East. We can provide you with the bespoke team of advisors needed to establish the facts, respond decisively and achieve the best possible outcome.

We partner with our other expert teams such as corporate crime, employment, competition or litigation as well as project managers, data specialists and document handling professionals to identify, collate and analyse large volumes of information. 

Recent Experience

Range of financial institutions and related individuals

Advising different clients in relation to the global multi-agency investigations into benchmark rate and interest rate manipulation in the US and UK, involving both regulatory and criminal aspects as well as concurrent enquiries and legal processes

National Australia Bank

Advising in respect of an investigation into unauthorised foreign exchange trading which resulted in a loss of A$360 million

A major international investment bank

Advising in respect of a confidential internal investigation into alleged interest rate fixing. Working with our Hong Kong office, our Alternative Legal Services team carried out a secondary review and analysis of complex and lengthy Bloomberg chats

A global banking group

Advising on the largest, highest profile corruption and financial services regulatory investigation currently underway, involving advice across 8 jurisdictions

A US investment bank

Advising in an investigation by the US SEC and DoJ into its operations in the PRC

Our People

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Financial Services Regulatory

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