Clyde & Co

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Regulatory

Regulatory

Our contentious regulatory team has an outstanding track record in high-profile investigations across the financial services sector and the depth and breadth of our experience gives our clients a crucial advantage. We have acted for regulated firms and individuals and for and against the regulators, including the Financial Services Authority (FSA) and the Serious Fraud Office (SFO).

Our pedigree in the insurance industry means that we are well-placed to help our clients deal with market regulation.  We have advised on many ground-breaking cases, such as:

  • the largest restitution claim brought by the FSA using its civil recovery powers
  • an attempt by the FSA to prohibit an insurance intermediary from carrying on an authorised activity
  • the first Market Abuse case based on dissemination of information

We are well acquainted with the internal workings of all the regulators from the FSA to the Stock Exchange, the BIS, the Office of Fair Trading and the Competition Commission. Many of our lawyers have had secondments to the FSA and we maintain a close, professional relationship.

For corporates we blend robust professionalism and compliance knowledge.  Our lawyers regularly deal with boards of directors on a wide range of (sometimes) sensitive issues such as bribery and corruption, investigations and whistleblowing to everyday compliance.

Our clients include individuals and authorised individuals, financial institutions, investment houses, regulators, leading Investment banks and insurers, insurance intermediaries and reinsurers.