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Firm acts for senior bank employee in relation to criminal and regulatory investigations conducted in the UK and Europe

Peters & Peters acted for an FCA approved person and director in the London Equity Finance Department of a major multi-national financial institution. The client’s employer was under investigation by the German Public Prosecutor and banking regulator, in addition to the UK FCA, in connection with allegations that individuals inside and outside the bank took unlawful advantage of the system for transferring shares in German equities around the dividend date to generate multiple tax refund claims against the German tax authority. The firm advised on FCA obligations as an approved person and potential criminal and regulatory liability under English and German law.

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Neil Swift

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+44 (0)20 7822 7763

Described as "top tier" by Legal 500, Neil advises and represents clients concerned with investigations by law enforcement and regulatory authorities. He is a regular speaker on corruption, fraud and corporate criminal liability.