Regulatory & Investigations

Our Regulatory & Investigations Work

• All
• Africa
• Asia Pacific
• Latin America
• Middle East
• North America
• UK & Europe

• Regulatory and compliance advice to a risk management organisation

  Advising a worldwide leading risk management and insurance intermediary on numerous regulatory and compliance issues in Canada

  Canada

  Advised an oil and gas producer

  We advised an oil and gas producer on exploration and production contracts in Brazil subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.

  Brazil

  Advised the Amsterdam branch of a major European bank

  Advised the Amsterdam branch of a major European bank on a USD 100 million medium-term syndicated structured export prepayment facility to finance the storage of export of soy beans in and from Brazil.

  Brazil

  Advising London Underwriters

  Advising London Underwriters in the investigation of an alleged USD 9 million diamond robbery which was eventually established as fraudulent, and the owners subsequently convicted of insurance fraud.

  United States

  Advising on South American trades

  Advising on South American trades where AML issues pertaining to local tax requirements.

  Mexico

  Advising trader

  Advising trader on criminal aspect returning the regular court proceeding.

  United States

  Conducting an internal investigation for a commodities trading

  Conducting an internal investigation for a commodities trading client into allegations of corruption by the Brazilian authorities and advising the client on the SFO’s investigation.

  Brazil

  Represented a broker before FINRA

  Represented a broker before FINRA in connection with investigation into and enforcement of rule violations arising out of unauthorized discretionary trading activity over a multiple-year period.

  United States

  Representing a global insurer

  Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.

  United States

  Representing a group of insurers in the evaluation of claims

  Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.

  United States
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• Assisting client in South Africa

  Assisting client in process of debarment representatives. 

  South Africa

  Assisting client in bringing application to the FST

  Assisting client in bringing application to the FST for reconsideration of decision by the PA to refuse variation of licence conditions.

  South Africa

  Inspection of pathology and radiology practice groups

  Inspection of pathology and radiology practice groups to obtain evidence of alleged perverse incentives and kickbacks, interviewing employees, analysis of evidence and drafting reports.

  South Africa

  Investigation of hospital groups

  Investigation of hospital groups to establish the referral system between doctors practising within the hospital and the hospital itself, including rental discounts and referral targets placed on doctors.

  South Africa

  Representing client on FSCA

  Assisting client to make representations to FSCA in relation to investigation on commission structure following anonymous tip-off.

  South Africa

  Engaging with FSCA

  Engaging with FSCA regarding potential policyholder dispute and contractual dispute pursuant to termination of binder agreement between non-life insurer and its binder holder.

  South Africa

  On-site inspection by PA

  Advising clients of procedures and entitlement during anticipated on-site inspection by PA.

  South Africa

  Broker and insurer allegations of conflicts of interest

  Engaging with the FSCA on behalf of a broker and insurer who form part of the same group relating to allegations of conflicts of interest and alleged failure to comply with TCF obligations by policyholder accused of fraud.

  South Africa

  Alleged exchange control breaches

  Engaging with the Reserve Bank in relation to alleged exchange control breaches by client in relation to intermediation on CFD transactions.

  South Africa

  Investigation into client’s business

  Making submissions to the FSCA on behalf of client in relation to investigation into client’s business and potential withdrawal of licence based on breaches of financial services legislation.

  South Africa
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• Acting for an ASX-listed company

  Acting for an ASX-listed company in respect of a major internal fraud investigation of a subsidiary entity including advising the company on regulatory issues, potential criminal prosecution and ongoing fraud proceedings.

  China

  Acting for a Chinese state-owned enterprise

  Acting for a Chinese state-owned enterprise in an investigation by the World Bank involving allegations of fraud and corruption in connection with an infrastructure project in Eastern Europe.

  China

  Representing insurer

  Representing an insurer in respect of a criminal corruption prosecution commenced against senior executives of a multinational corporation in respect of claims arising under a Directors' and Officers' Liability Policy and a Crime Policy.

  China

  Investigation into allegations of corruption made by the Indonesian authorities

  Advising a client in the aviation industry in relation to allegations of bribery and corruption involving a state owned entity.

  Indonesia

  Advising on anti-bribery and corruption allegations

  Advising a multinational corporation on its anti-bribery and corruption obligations and resolving alleged concerns held by the Australian Federal Police and a regulator that the corporation had breached those obligations

  Australia

  International Air Transport Association - travel agent fraud claim

  Advising 32 airlines and the International Air Transport Association on a series of major frauds allegedly committed by various travel agents involving money laundering and the issuance of millions of pounds worth of tickets without accounting to the airlines

  India

  World Trade Organisation EU public procurement rules

  Advised a metal producer on World Trade Organisation (WTO) law issues arising from a proposed ban by Indonesia on the export of iron ore. We also advised on the possibility of producers coordinating a response to such an initiative, within the bound permitted by competition laws in the EU and globally (including US and Canada)

  Indonesia

  Defending Air New Zealand

  Successfully defending Air New Zealand in the EU Commission’s extensive proceedings against 20+ airlines accused of cartel infringements in the air cargo sector. The investigation led to 11 airlines being given fines totalling EUR 800 million

  New Zealand

  National government implementation of UN financial sanctions

  Providing advice on the implementation of UN financial sanctions by Singapore; whether Singapore has implemented UN Security Council Resolution 1970 (2011) against Libya; and whether Singapore has expanded its list of designated persons following the implementation of EU Regulation 503/2011

  Singapore

  Implementing UN financial sanctions against Libya

  Advising a leading international trading organisation on the implementation of UN financial sanctions against Libya by Singapore and whether Singapore has expanded its list of designated persons following the implementation of EU Regulation 503/2011

  Singapore

• Conducting an internal investigation for a commodities trading

  Conducting an internal investigation for a commodities trading client into allegations of corruption by the Brazilian authorities and advising the client on the SFO’s investigation.

  Brazil

  Advised the Amsterdam branch of a major European bank

  Advised the Amsterdam branch of a major European bank on a USD 100 million medium-term syndicated structured export prepayment facility to finance the storage of export of soy beans in and from Brazil.

  Brazil

  Advised an oil and gas producer

  We advised an oil and gas producer on exploration and production contracts in Brazil subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.

  Brazil

  Advising on South American trades

  Advising on South American trades where AML issues pertaining to local tax requirements.

  Mexico

  Energy sector merger notification requirements

  Advising an oil and gas producer on exploration and production contracts subject to merger notification requirements, at EU level, or equally at other national competition regulator levels.

  Brazil

  Advising Brazilian developers of renewable energy projects

  Advising Brazilian developers of renewable energy projects on agreements for the forward sale of carbon credits, reviewing CDM emission reductions purchase agreements and regulatory requirements

  Brazil

• Conducting investigations on a UAE-based international construction company

  Conducting investigations and advising a UAE-based international construction company following allegations that large government contracts had been procured through bribery, and advising on necessary remedial action.

  United Arab Emirates

  Representing and initiating criminal proceedings

  Representing and initiating criminal proceedings against a number of individuals following allegations of money laundering, fraud and misappropriation in UAE criminal proceedings, and defending and successfully lifting Interpol Red Notices.

  United Arab Emirates

  Advising businesses, shipowners and insurers

  Advising businesses, shipowners and insurers on the effects and application of the restrictions imposed by the UAE and KSA against Qatar.

  United Arab Emirates

  Advice on US sanctions

  Advising insurance, reinsurance, shipping and corporate clients on US sanctions in Iran, North Korea, Cuba, Sudan, Syria and Somalia

  Iran

  Iraqi Government

  Drafting the Free Zone Laws for Iraq.

  Iraq

  Advising traders on region-specific sanctions

  Advising trading companies on issues arising from sanctions against doing business in, among other places, Iraq and Syria

  Iraq

  Unlawful expropriation of assets and property

  Advising Saudi investors in relation to an ICSID arbitration, BIT treaties and alternative enforcement mechanisms regarding the unlawful expropriation of assets and property by the Egyptian government arising out of the Arab Spring

  Saudi Arabia

  AECOM

  Advising AECOM in respect of its restructuring of a substantial number of operating companies carrying out business throughout the Middle East following its merger with Cansult/Maunsell. This instruction comprised a substantial due diligence exercise into the various operating companies and advice on the legal and regulatory regime of four Emirates in the UAE, KSA, Qatar and Oman for the implementation of the restructuring with a view to streamlining AECOM's operations throughout the region...

  United Arab Emirates

  Meydan Free Zone

  Drafting the employment regulations for the Meydan Free Zone.

  United Arab Emirates

  UAE Regulator

  Advising this UAE regulator on its framework law including conducting a detailed benchmarking exercise, advising on policy matters and implementation of the law and redrafting legislation. This project interfacing with a number of other government departments.

  United Arab Emirates
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• Regulatory and compliance advice to a risk management organisation

  Advising a worldwide leading risk management and insurance intermediary on numerous regulatory and compliance issues in Canada

  Canada

  Representing a global insurer

  Representing a global insurer in the investigation and recovery of more than USD 44 million in stolen diamonds.

  United States

  Representing Lloyd's Syndicates

  Representing Lloyd's Syndicates and other foreign insurers in a series of litigations through the United States over the fortuity of losses in gold transactions.

  United States

  Advising trader

  Advising trader on criminal aspect returning the regular court proceeding.

  United States

  Representing a group of insurers in the evaluation of claims

  Representing a group of insurers in the evaluation of claims and subsequent recovery arising out of a major lapping scheme fraud.

  United States

  Advising London Underwriters

  Advising London Underwriters in the investigation of an alleged USD 9 million diamond robbery which was eventually established as fraudulent, and the owners subsequently convicted of insurance fraud.

  United States

  Represented a broker before FINRA

  Represented a broker before FINRA in connection with investigation into and enforcement of rule violations arising out of unauthorized discretionary trading activity over a multiple-year period.

  United States

• Competition Compliance and dealings with EU Distributors

  Advising a technology company on EU and UK competition issues arising from dealings with distributors and with competition compliance checks on their UK subsidiaries. This has included compliance audits on the UK subsidiaries followed by privileged communication on amending practices as necessary (e.g. export restrictions).

  United Kingdom

  Sanctions advice for a trade association

  Advising a trade association on the consequences of a party to an arbitration under its rules becoming a sanctioned entity based upon UK, EU and US sanctions advice.

  United Kingdom

  Banking sector claims validation advice

  Advising the CEO and directors of a large Eastern European/Russian Bank in a multimillion dollar fraud case.

  Russian Federation

  Investigation into alleged sexual misconduct

  Conducting an internal investigation into allegations of sexual misconduct for a client in a regulated industry and advising on reporting requirements.

  United Kingdom

  EU Emissions fraud in the European Registry

  Advising regarding an EU Emissions fraud in the European Registry which caused the market to stop trading for a short period of time after a number of legitimate players found themselves subject to litigation regarding related property rights and emissions

  Switzerland

  Advised on D&O/PI cover for a leading national accounting firm

  The FSA led an investigation into operations systems and controls (FS regulated advice).  This raised questions regarding the nature and extent of our client's cover. We were therefore required to advise as to the adequacy of this cover. We then assisted with the transition of our client into another accountancy firm.

  United Kingdom

  EU investigation of air cargo services

  Representing a leading global air cargo operator in the ongoing EU investigation of air cargo services

  United Kingdom

  Fraud investigations advice

  Conducting internal investigations into fraudulent activities of third parties, employees and agents and advising clients on how best to prevent fraud within their organisation

  United Kingdom

  EU investigation of a chemical tanker operator

  Represents a global chemical tanker operator in the ongoing EU investigation of parcel tanker services

  United Kingdom

  FSA bribery and corruption investigation

  Acting for a large broker that has been under investigation by the FSA since 2011 in relation to bribery and corruption issues.

  United Kingdom
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