We act for financial institutions in commercial disputes and in the management of regulatory relations as well as compliance, litigation and reputational risks, advising on best practices, corporate governance and internal controls, identifying areas of specific concern and developing strategies to address those concerns.

We represent our clients before regulators, statutory tribunals, the courts and other government bodies in relation to disciplinary proceedings, market misconduct proceedings and other proceedings. We assist our clients in internal investigations, the formulation and audit of compliance policies and procedures and the provision of ongoing compliance support to trading, portfolio management, sales, research and investment banking operations.

We are frequently engaged by clients to manage regulatory relations where a breach of law or regulation is suspected or where an adverse regulatory enquiry has been received. We regularly manage potential client litigation and regulatory enforcement action where losses are incurred through extraordinary circumstances.

Representative Experience