Regulatory & Disciplinary
We act in regulatory and disciplinary proceedings on behalf of financial institutions, corporates, and individual defendants in criminal regulatory and enforcement matters.
Members sit as panel members and chairs on disciplinary tribunals, and are appointed by professional bodies including the Professional Cricketers' Association and the League Managers' Association. We have also represented PLCs and other corporates in defending allegations of mis-selling.
Our regulatory work frequently carries an international dimension. Members have acted in the prosecution of a Hong Kong CIOT Fellow on allegations of multi-million dollar misappropriation from clients across Hong Kong, Singapore, and Australia.
Members also work with the Bar Council in designing and delivering training for the Bar on money laundering obligations arising from direct access instructions.
