Managing specific regulatory events

Back to Regulatory & Compliance Services

We understand that there are times when unscheduled events happen within your business which require a specific response and which sometimes require professional assistance to help to secure the best outcome. 

We have experience in the following areas:-

- assisting clients with managing breach situations including communicating with the Regulator, developing a remedial action plan and liaising with the Regulator in relation to agreed actions;

- helping clients with post supervisory visit report actions including liaising with the Regulator in relation to progress against an agreed timetable;

- advising on regulatory enforcement action and appeals (our team advised on the first full contested appeal hearing before the Financial Services Appeal Tribunal); 

- advice and project management of information requests from foreign authorities under our TIEA network, criminal justice and insolvency regimes including advising on formal investigations; and

- advising on money laundering investigations and prosecutions. 

 

Managing specific regulatory events contacts

  • "Absolutely excellent service"

    Legal 500

  • "The firm has shown a high level of industry knowledge and deep and comprehensive understanding of our clients' needs."

    Chambers UK

  • "The 'impeccable DQ provides 'absolutely excellent service'"

    Legal 500

  • "always delivers on promises and timescales"

    Legal 500

  • "Accessible and responsive, they are able to give answers quickly and decisively"

    Chambers Global

  • "nimble and forward thinking, this firm ticks all the right boxes"

    Chambers Europe

  • Annemarie is "strong on detail and presents it in an intelligible manner."

    Legal 500

  • "Very approachable and offers common sense in combination with a commercial aptitude"

    Chambers UK

  • "commercially minded, experienced and knowledgeable"

    Chambers UK

  • The team is 'organised and efficient'

    Legal 500

  • "Immensely impressive"

    Legal 500

  • Annemarie "gives balanced and clear advice on complex issues"

    Legal 500

  • "efficient and cost effective team"

    Chambers Europe

  • "a modern and approachable firm"

    Legal 500

  • DQ "shows commitment to providing extraordinary quality legal services in a responsive and creative fashion"

    Legal 500

  • Annemarie gives "solid and understandable advice on complex issues"

    Legal 500

  • "great at managing cross-jurisdictional transactions and seeing Isle of Man issues in a wider context"

    Chambers UK

  • "provides great advice and quick turnaround times"

    Chambers Global

  • "The firm's team showed high commitment to providing extraordinary quality legal services in a responsive and creative fashion, always focusing on creating value for the client."

    Chambers UK