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.
Regulatory Enforcement contacts
"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."
"efficient and cost effective team"
Annemarie is "strong on detail and presents it in an intelligible manner."
DQ "shows commitment to providing extraordinary quality legal services in a responsive and creative fashion"
"commercially minded, experienced and knowledgeable"
"nimble and forward thinking, this firm ticks all the right boxes"
"The 'impeccable DQ provides 'absolutely excellent service'"
"provides great advice and quick turnaround times"
"always delivers on promises and timescales"
"Absolutely excellent service"
"great at managing cross-jurisdictional transactions and seeing Isle of Man issues in a wider context"
The team is 'organised and efficient'
Annemarie gives "solid and understandable advice on complex issues"
"The firm has shown a high level of industry knowledge and deep and comprehensive understanding of our clients' needs."
"Very approachable and offers common sense in combination with a commercial aptitude"
"a modern and approachable firm"
Annemarie "gives balanced and clear advice on complex issues"
"Accessible and responsive, they are able to give answers quickly and decisively"