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Our lawyers are well respected for their work in regulatory investigations, particularly enforcement proceedings by the Financial Services Authority (where one of our partners, Philip Rubens, spent time working).   Our FSA team also have considerable experience of financial services litigation (acting both for and against the financial services institutions) and work closely with the firm’s criminal lawyers and those specialising in disciplinary proceedings.  

Having this range of expertise means we can deal with all aspects of these matters.   This avoids having numerous law firms dealing with different parts of the issue.   We aim to provide a seamless service resolving  the problems in a way that minimises the disruption and damage to your business.

Our services include:

• Market abuse investigations;
• Perimeter investigations including allegations in relation to collective investment schemes;
• Mis-selling investigations;
• Proceedings in the Regulatory Decisions Committee and the Financial Services and Markets Tribunal;
• Internal investigations
•  Claims against banks, brokers and IFAs in relation to investment advice, portfolio management and breach of statutory duty. 

Our recent work includes:

• Acting for an alleged rogue trader at a major US investment bank who was accused of mis-marking his book of OTC derivative investments;
• Acting for a UK hedge fund in a multi-jurisdiction market abuse investigation;
• Acting for the estate of a high net worth individual against a major bank in relation to investment advice received;
• Acting for a hedge fund manager in the UK in relation to a major investigation by the French regulator;
• Acting for the operator of a collective investment scheme in relation to mis-selling allegations;
• Acting for a senior investment banker at a major investment bank who was subject to an FSA investigation and was successfully defended when FSA dropped all charges against him;
• Acting for a large business which the FSA alleged had been carrying out regulated activities without being authorised to do so.