Contentious Regulatory

We have an increased focus on providing specialist regulatory investigation support and advice to our financial services clients and are in a unique position to assist because our services are covered by legal professional privilege. This greatly mitigates the obligation to make disclosure to regulators, ombudsman and adversaries and, where this is the case, our clients receive advice on the applicability of such privilege as well as on the advantages of sustaining rights to non-disclosure as a result of privilege or - particularly in the case of dealing with regulators - waiving it.

We advise on managing risk across a range of issues, including in relation to systems, controls, policies and procedures, and director and employee duties. We also advise in response to regulator and law enforcement information requests for use in regulatory or criminal investigations and any subsequent enforcement proceedings in our five jurisdictions.