Members of Chambers work closely with firms and individuals that are regulated by the Financial Conduct Authority, the Bank of England and other financial regulators. Our specialist team advises on compliance with domestic, European and international financial regulation and provides representation in enforcement proceedings. Representative cases include financial mis-selling scandals, bribery and corruption probes and investigations into poor anti-money laundering systems and controls.
A number of our team have experience of working within financial regulators, international financial institutions and solicitors’ firms. As a result, we have a rare understanding at the Bar of financial regulation in practice. Members of the team are regularly seconded to the Financial Conduct Authority and have experience of the FCA’s Regulatory Decisions Committee (RDC).
Our members have experience in regulatory interviews, enforcement investigations, supervisory action (e.g. variation of permission and requirements) and representations to decision-makers within regulators. We also advise on notification requirements, remediation and redress schemes, skilled person reviews and regulatory interventions in insolvency proceedings.
We advise on an array of non-contentious financial regulation matters, including changes to policies and systems arising from regulatory change and reporting requirements (e.g. under the Senior Managers and Certification Regime (SM&CR)). Our team has experience in advising on whether firms, individuals, financial products and corporate structures (e.g. collective investment schemes) fall within the scope of financial regulation, notably the regulatory perimeter established under the Financial Services and Markets Act 2000.
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