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 Rhiannon Pugh, business development executive.

Unravelling the London G20 agenda

News

Freshfields announces association with The Law Firm of Salah Al-Hejailan in Saudi Arabia View

Freshfields advises London Stock Exchange Group on pan-European trading venture with global investment banks View

Briefings

The UK Bribery Bill  View

BaFin issues guidelines on marketing communications of investment firms  View

Awards

Regulatory Team of the Year - JUVE Awards 2009 (2009)

Insurance Team of the Year - Legal Business Awards (2009)

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Contacts