Our Services > Regulatory and Disciplinary
We have extensive experience of handling regulatory and compliance enquiries both nationally and internationally. We act in many FSA and DTI/BIS inquiries and also represent clients under investigation by foreign regulatory authorities in the US, Hong Kong, Australia, France, Ireland and Switzerland.
We are expert in dealing with:
- Disciplinary proceedings for approved persons
- Allegations of market abuse and other market misconduct
- Disciplinary proceedings brought by professional bodies against professionals
- HMRC tax investigations
- Investigations by overseas regulators
Michael Potts has acted in numerous FSA investigations including the first ever FSA prosecution for insider dealing and subsequent insider dealing ring investigations.
Matthew Frankland has particular expertise in professional disciplinary proceedings.
David Byrne is recognised for his work in DTI/BIS investigations, including directors’ disqualification proceedings, Enterprise Act 2002, Health and Safety and Trading Standards issues.
Contact: Michael Potts
44(0) 20 7842 1640