Regulatory and Disciplinary
We have extensive experience of handling regulatory and compliance enquiries both nationally and internationally. We act in many FSA and DTI/BIS inquiries and also represent clients under investigation by foreign regulatory authorities in the US, Hong Kong, Australia, France, Ireland and Switzerland.
We are expert in dealing with:
- Disciplinary proceedings for approved persons
- Allegations of market abuse and other market misconduct
- Disciplinary proceedings brought by professional bodies against professionals
- HMRC tax investigations
- Investigations by overseas regulators
- Directors’ disqualification proceedings
Nicola Boulton has worked for FSA/FCA and acts for clients in market abuse and unauthorised trading investigations.
Michael Potts has acted in numerous FSA/FCA investigations including the first ever FSA prosecution for insider dealing and subsequent insider dealing ring investigations.
Matthew Frankland has particular expertise in professional disciplinary proceedings.
David Byrne is recognised for his work in DTI/BIS investigations, including directors’ disqualification proceedings, Enterprise Act 2002, Health and Safety and Trading Standards issues.
Read what Chambers and Legal 500 have to say about us:
David Byrne is a business crime specialist and specialises in all aspects of civil and criminal fraud, regulatory investigations and money laundering enquiries and has particular expertise in Inland Revenue investigations, prosecutions and settlements.Full Profile
Matthew is Partner and a criminal law specialist with 20 years of experience in major criminal fraud trials and investigations. He handles all kinds of fraud cases and focuses on raising arguments designed to stop cases reaching charge or trial.Full Profile
Michael specialises in the defence of financial crime, fraud and regulatory investigations and prosecutions. He has acted in numerous high profile investigations and prosecutions brought against individuals by the SFO, FCA, Fraud Prosecution Service, and other regulatory bodies and prosecution ag Full Profile
Sara’s practice consists of acting primarily for senior, often high-profile, individuals and corporate clients who find themselves the subject of criminal or regulatory investigations and prosecutions. Sara has represented clients being investigated/prosecuted by, amongst others, the Seriou Full Profile