We provide financial regulatory advice for professionals in relation to proceedings which may be brought against them by their governing bodies. This includes giving advice to professionals and directors covering the regulatory framework in which they operate.
Our advice extends to rules relating to managing client money, money laundering, bribery and corruption, terrorism financing and sanctions, and all aspects of professional and regulatory compliance, including disciplinary matters. We defence individuals and entities who may find themselves at the end of an enquiry by the FCA, and we support them through the process, whether it is civil or criminal.