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  • Client Services
  • Financial Regulation Group
  • Financial Services Investigations

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Financial Services Investigations

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A world class team

Regulators' investigations, disciplinary proceedings and supervisory interventions can give rise to significant commercial, financial and reputational risks for regulated firms.

We have unparalleled experience advising financial institutions, major corporates and their senior executives on their most significant, complex and reputationally sensitive matters.

We are not purely reactive. It is vital to get on the front foot and to engage constructively with regulators before they reach conclusions. We have deployed this approach to secure successful outcomes for many clients.

Our clients benefit from our excellent insight into the workings of regulatory bodies and interactions between them. Our team includes individuals who have worked in the enforcement divisions of many of the most active regulators, including the DOJ, SEC, FCA, PRA and SFC.

An integrated practice

Our contentious regulatory lawyers work with – and within – our advisory and risk advisory, litigation, arbitration & investigations, business crime, financial crime and money laundering, antitrust and foreign Investment, data privacy, banking, corporate and governance, and employment and incentives teams. In this way, we seamlessly cover every issue arising out of an investigation, enforcement action, supervisory inquiry or assertive supervisory intervention, as well as the consequences for our clients.

Our advisory lawyers provide market-leading advice to institutions on regulatory compliance and managing and responding to the risks occasioned by regulatory change. Our combined approach means that, not only are we better able to help clients anticipate and mitigate the risk of regulatory non-compliance, but we are also able to advise clients and, where necessary, advocate authoritatively to regulators on the underlying rules and regulations at issue in an investigation or supervisory intervention.

Our international network enables us to provide seamless advice and global strategic co-ordination of cross-border regulatory investigations involving multiple authorities and jurisdictions.

Market-leading experience

Assertive supervision

  • Advising a financial market infrastructure provider on regulatory interactions relating to its post-Brexit group structure and cross-border market access model.
  • An E-Money Institution on the threatened refusal of its MLR crypto registration.
  • An asset manager in relation to a contested approved persons application.
  • An asset manager on an FCA-appointed Skilled Person’s review of the firm’s governance arrangements and risk management systems and controls.
  • A major ASEAN bank on its engagement with the FCA about its AML and financial crime systems and controls in the UK.
Close X

Retail and payments

  • Major UK retail banks on FCA investigations and associated s.166 Skilled Person reviews into the banks’ handling of customers in arrears, collections and recovery processes.
  • Advice on complex enforcement issues relating to Belgian payment services provisions.
  • A major UK retail bank on an FCA settlement related to the effective processing of the accounts and investments of deceased customers.
Close X

Asset managers

  • A leading global custodian and securities services provider on an AMF investigation into its fund depositary business.
  • The wealth management business of a leading global financial institution on an FCA investigation into the adequacy of the supervision, risk management and control arrangements in place for overseeing the provision of advice – closed with no action taken.
  • A major UK retail financial institution and a UK asset manager in relation to a large FCA investigation into their systems and controls and connected issues regarding internal escalation and FCA reporting.
  • A global bank on compliance with Hong Kong codes of conduct and on the process and procedure of enforcement actions and settlement.
Close X

Financial crime and AML

  • A global investment bank on complex cross-border regulatory investigations (including in the UK) into financial crime systems and controls connected with origination of substantial transaction, including due diligence, disclosure, reputational risk, senior manager oversight, conflicts of interest and associated governance arrangements.
  • A leading global financial institution advising in relation to a global regulatory investigation into the adequacy of the firm’s systems and controls for the review, approval and execution of certain high value, higher risk, transactions, including investigations by the PRA and FCA.
  • A UK e-money and payment services firm on an FCA investigation into alleged financial crime and sanctions screening issues and associated systems, controls and governance.
  • A Dutch payment services provider on a Dutch Central Bank investigation into its AML/CFT compliance.
Close X

Insurers

  • A global insurance firm on a UK regulatory investigation into the governance and oversight of its underwriting function.
  • An FCA investigation into the fair treatment of longstanding closed book insurance customers – closed with no action taken.
  • A major French insurance firm on a regulatory investigation into its relationships with distributors of life insurance products and their client policyholders.
Close X

Market conduct

  • A leading bank on an AMF enquiry and report on certain of its market operations.
  • Several investment banks and financial institutions in the UK, US and France, advising on various complex cross-border regulatory investigations into FX trading.
  • A major publicly listed company on parallel FCA and PRA investigations into potential market disclosure issues and associated systems and controls issues.
  • A Belgian company in regulatory and court proceedings relating to alleged market disclosure issues.
Close X

Operational resilience

  • A leading insurance firm on an FCA investigation into the adequacy of its cyber-security systems and controls – closed with no action taken.
  • A leading Latin American financial services firm on crisis management and a global asset recovery investigation following a cyber incident.
  • A senior manager of a major UK financial services firm advising on a joint PRA and FCA investigation into IT change management.
Close X

Culture

  • A global investment bank on a cross-border investigation into historic sales practices in Hong Kong and Singapore.
  • A leading UK retail bank on an FCA enforcement investigation into its handling of whistleblowing allegations.
  • A UK insurance underwriter on a regulatory investigation into allegations of non-financial misconduct and the firm’s response to the allegations.
  • A European bank on an FCA investigation into the fitness and propriety of a former Senior Manager arising out of allegations of non-financial misconduct – closed with no action taken.
Close X

Individuals

  • A former country manager of a major multi-national financial institution on a cross-border DOJ and SFO investigation in relation to potential money laundering activities.
  • A senior executive of a large financial institution on an FCA investigation for senior manager conduct rules issues including reasonable steps to control the business effectively and effectively oversee delegations.
  • A senior executive on an SEC investigation of a global financial firm’s regional hiring practices.
  • A Head of Compliance of a major broker on an FCA investigation – closed with no action taken.
Close X
   
  • Assertive supervision

    Assertive supervision
  • Retail and payments

    Retail and payments
  • Asset managers

    Asset managers
  • Financial crime and AML

    Financial crime and AML
  • Insurers

    Insurers
  • Market conduct

    Market conduct
  • Operational resilience

    Operational resilience
  • Culture

    Culture
  • Individuals

    Individuals

How we can help you

A world-class team supporting and advising you to:

  • Pre-emptively identify and manage regulatory risks
  • Set and follow clear and commercial strategy
  • Understand and engage effectively with the regulators’ investigation teams and processes
  • Hold regulators to account
  • Pro-actively manage investigations and supervisory engagement
  • Design and support remediation and redress schemes
  • Identify and address read-across risks
  • Consider collateral risks

We advise clients on regulatory investigations covering a wide range of issues, including:

  • Governance, risk management systems and controls, and senior management responsibility
  • Market misconduct, including insider dealing and market manipulation
  • Anti-money laundering (AML) and anti-bribery and corruption (ABC) systems and controls
  • Conflicts of interest
  • Conduct of business and issues relating to the fair treatment of customers, including suitability and appropriateness, disclosure, pricing / charging structures and complaints handling
  • Cyber-security and operational resilience
  • Transparency, including reporting and notification obligations owed to regulators
  • Protection of client assets and client money
  • Whistleblowing investigations and systems and controls
  • Non-financial misconduct
  • Compliance by listed companies and their advisors (including sponsors) with listing and continuous disclosure obligations.

Thought leadership

Non-financial misconduct and whistleblowing

In this comparative report, we review the evolving approach to non-financial misconduct taken by national financial services regulators in 12 key jurisdictions - including the extent to which this will be considered when assessing an individual's suitability to work in financial services.

Find out more

Senior management accountability: a global perspective

This guide to senior management accountability will consider the steps being taken by national regulators across the globe to improve organisational culture and governance through enhancing the accountability of senior management.

Find out more

See further insights below – and apply filters if you wish

Matching Articles

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Our insights

Ansprechpartner:

Klaus Saffenreuther
Klaus Saffenreuther
Tel: +496971003203 Email: klaus.saffenreuther@linklaters.com
Prof. Dr. Hans-Ulrich Wilsing
Prof. Dr. Hans-Ulrich Wilsing
Tel: +4921122977509 Email: hans-ulrich.wilsing@linklaters.com

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