ABOUT US

An integrated Global Financial Services & Investigations practice

60% of the world's top 50 banks rely on us to protect their interests and make their business ambitions become business realities.

We are purposefully structured as a single, fully integrated international team, meaning clients can rely on clear, connected legal advice, wherever and whenever it’s needed.

We work collaboratively to provide strategic value and build enduring relationships. Across our global network, we provide a wide range of financial institutions with guidance to ensure they meet their vast global and local financial regulatory requirements.

Our clients span the retail and wholesale sectors and include banks, asset managers, broker-dealers, commodity traders, corporate financiers, custodians, insurance/ reinsurance firms and intermediaries, life and general insurers and payment services and currency exchange platforms.

Our Global Financial Services & Investigations practice draws real strength from its close integration with other practices areas including Financial Regulation; White Collar; Antitrust and Competition; Employment and Labor; Data Security; International Trade and Economic Sanctions; Forensic Services and Tax. This means we can advise financial services clients on the wider regulatory or criminal implications and deal with them holistically.

Importantly, the team also collaborates closely with our transactional finance team, who offer the specialist product knowledge and expertise to complement the contentious offering.

Our lawyers are equipped to anticipate areas of risk and to work seamlessly across specialisms and offices to deliver the best available solutions for our clients.

POLLY JAMES

Partner and Global Practice Co-Leader- Financial Services Disputes and Investigations, London

Read Polly's bio here >

We fully immerse ourselves in the financial services industry – many of our lawyers have spent time on secondment at financial institutions or regulators, or have joined us following years of corporate legal or regulator leadership experience in the industry.

DOUGLAS A. THOMPSON

Partner and Global Practice Co-Leader - Financial Services Disputes and Investigations, Los Angeles

Read Doug's bio here >

They are very knowledgeable and professional. The whole team are very efficient and available for queries on short notice. Their strength is on the regulatory side. They provide concise and practical responses.

BCLP Client

Very good at simplifying complex issues so clients can understand what it means for their business.

Chambers & Partners, 2022

All of them are knowledgeable, practical and accessible. The depth of experience and their clear, honest advice is what we always need.

Chambers & Partners, 2022

EXPERIENCE OF DEALING WITH GLOBAL REGULATORS AND AGENCIES INCLUDING:

  • The UK Financial Conduct Authority (FCA)
  • The UK Prudential Regulation Authority (PRA)
  • The UK Serious Fraud Office (SFO)
  • European Commission (EC)
  • The UK National Crime Agency (NCA)
  • HM Revenue & Customs (HMRC)
  • Competition and Markets Authority (CMA)
  • Information Commissioner's Office (ICO)
  • US Department of Justice (DoJ)
  • Securities & Exchange Commission (SEC)
  • New York Department of Financial Services (DFS)
  • Commodity Futures Trading Commission (CFTC)
  • US Federal Bureau of Investigations (FBI)
  • Office of Financial Sanctions (OFSI)
  • US Consumer Financial Protection Bureau

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This document provides a general summary and is for information/educational purposes only. It is not intended to be comprehensive, nor does it constitute legal advice. Specific legal advice should always be sought before taking or refraining from taking any action.

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