Investigations and Regulatory Advice

In the wake of the financial crisis, the regulatory environment has become increasingly complex and often challenging for regulated businesses.  Specialist legal support is frequently required to advise on regulatory change or to consider the right response to potential issues.

We have substantial experience in this area.  Not only can we advise on the potential impact of new and existing regulation, but also advise regulated businesses which are under investigation, assisting them with all phases of the investigation process.

Our team also has the capacity to assist and advise in the prosecution and defence of financial crime issues, on sanctions-related issues, in self-initiated internal investigations and more generally on cross-border investigations, often working in close co-operation with onshore and in-house legal teams.

In our home jurisdictions we operate within sound regulatory frameworks and have long-standing and professional relationships with industry regulators in the BVI, Cayman Islands, Guernsey, Jersey and Luxembourg.

In short, our multi-disciplinary team can help you navigate these increasingly regulated environments through each stage in the business lifecycle: start up and relocation, operation, expansion and change. Prevention of issues is preferable but where things have gone wrong, we provide effective solutions to clients including banks, major corporates, investment managers, fund administrators, trust companies and private clients.

Services

Our services include:

  • Sanctions advice
  • Advice on the impact of new or existing regulation
  • Attendance at interviews conducted in respect of regulatory investigations
  • Cross-jurisdictional investigations
  • Disclosure advice and document search
  • Fraud or anti-money laundering
  • Maxwellisation of reports
  • Negotiations on sanctions and export controls
  • Self-initiated investigations

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