Our contentious financial services group comprises a dedicated team of lawyers from across Europe and Asia who advise investment and retail banks, insurers, listed corporates, fund managers, exchanges, and other financial institutions on regulatory investigations and enforcement.

We work with our clients to help them understand problems that arise and their consequences, and to deal with the issues arising, including handling regulatory aspects. This frequently involves guiding clients through regulators' investigative and disciplinary processes.

Most of these cases have been resolved without public action. Our extensive experience in undertaking and managing major regulatory investigations means that we advise on many of the major high-profile cases, including, for example, acting on over 45 Financial Services Authority (FSA) inquiries over the last 12 months in the UK (of which about 16 for investment banking clients, three for asset managers, 12 for retail clients, five for corporates and 10 for insurance companies) and others by the Department of Trade and Industry; the London Stock Exchange; the London Metal Exchange; the Serious Fraud Office; Virt-x; the Paris Bourse; the Japanese Financial Supervisory Agency; and the Hong Kong Securities and Futures Commission. We also advise corporates on investigations and disciplinary actions by the UK Listing Authority.

We also advise on issues concerning retail financial services businesses, in particular handling consumer complaints to the Financial Ombudsman Service (FOS), dealing with mass mis-selling claims and advising on FSA regulatory investigations and disciplinary proceedings.

For more information please contact Sonia Tavanai-Tamanai, business development executive.

The bank of the future

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News

Freshfields advises on Republic of Lithuania Sovereign Bond issue View

Markets waking up to benefits of de-risking pension liabilities View

Briefings

Insurance and reinsurance news: January 2012  View

Financial regulation reform: the role of competition  View

Awards

Regulatory team of the year - JUVE Awards (2009)

Insurance team of the year - Legal Business Awards (2009)

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Contacts