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Regulatory & Disciplinary Investigations

Peters & Peters is “a prestigious financial crime group with the capacity to handle legal and regulatory challenges brought by domestic and international enforcement agencies”.

ContactLatest News for Regulatory & Disciplinary Investigations

Since the financial crisis, many regulators around the world have increased their scrutiny of the conduct of individuals and corporations falling within their remit. For companies and individuals alike, regulatory investigations and consequent proceedings can have devastating and far-reaching consequences including reputational damage, substantial fines, the prohibition or limitation of access to certain markets or business activity, loss of livelihood or imprisonment.

Peters & Peters acts for individuals and companies facing regulatory and disciplinary proceedings. We are recognised experts in relation to FCA Investigations & Enforcement (including insider dealing and market abuse) and Competition & Cartels particularly in relation to individuals and we are ranked Band 1 in Chambers UK 2016 in these fields. Our team also regularly advises professionals from other regulated sectors in relation to allegations of misconduct, for example lawyers, accountants, architects and healthcare professionals. We are also able to assist with parallel proceedings taken by a client’s employers and issues around Directors Duties & Disqualification.

Peters & Peters also represents regulated entities across a variety of regulated sectors and can assist with Internal Investigations, self-reporting, liaising with the regulator, remediating breaches and crisis management. We give clear advice, often on an urgent basis as to the likelihood that a breach has occurred and the steps which a firm might want to consider taking.

We offer outcome-focused guidance, including proactively engaging with the regulator where this may result in a favourable and/or pre-emptive resolution of matters.

Peters & Peters also regularly assists in relation to regulatory investigations relating to environmental offences, Health & Safety Investigations and Inquiries & Inquests.

Key Contacts

Monty Raphael QC

Monty Raphael QC, Special Counsel

Email Monty

+44 (0)20 7822 7777

Neil Swift

Neil Swift, Partner

Email Neil

+44 (0)20 7822 7763

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