Financial Regulatory Investigations Advice and Representation

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Financial institutions and corporate senior management are often subject to scrutiny and can easily find themselves to be the subject of an investigation by a regulatory body, such as the HMRC, the Financial Conduct Authority (FCA) or The Serious Fraud Office (SFO) in the UK, as well as by foreign entities, such as the US Department of Justice (DOJ). These investigations can put a serious financial and emotional strain on you, as well as cause lasting damage to your reputation.

Our multilingual and multi-disciplinary team of solicitors will take proactive measures to protect your interests when you are under investigation and we will continue to support you in the aftermath of the investigation. We have experience working with corporate and banking clients to manage financial regulatory and criminal investigations, and we offer an advisory service that allows you to put in place an effective compliance strategy.

If you are the subject of an investigation by a financial regulatory body in the UK or abroad, get in touch with our solicitors in London, Birmingham and Northampton on 0300 303 2071 or send us your query at info@witansolicitors.co.uk to get reliable legal advice fast. You are entitled to an initial, no-obligation consultation free of charge. 

Our Services

Our advisory solicitors have over a hundred years of combined experience giving us the knowledge and expertise necessary to navigate the complexities of regulatory compliance and confidently represent you when you are being investigated by various regulatory bodies in the UK and abroad.

Regulatory Compliance Advisory Services

We are committed to offering a market-leading service, so we keep track of all regulatory changes allowing us to prepare our clients for the potential risks involved. We advise financial institutions and financial services providers on achieving regulatory compliance, and mitigating and managing any underlying risks to avoid legal action against them.

Financial Investigation Representation

When you are the subject of a financial regulatory investigation, whether it relates to a technical breach of compliance regulations or serious financial crime charges, our solicitors in London, Birmingham and Northampton will ensure that your rights are protected at all times. We will guide you with efficient, actionable advice that allows you to stay in control of your case.

Our defence solicitors will represent you confidently in front of regulatory bodies, such as:

• The Financial Conduct Authority (FCA)
• HM Revenue and Customs (HMRC)
• The Serious Fraud Office (SFO)
• The Prudential Regulation Authority (PRA)
• The Financial Reporting Council (FRC)
• The Financial Services Compensation Scheme (FSCS)
• Local Police Departments

If the financial investigation leads to charges being brought against you, you will have our team of experienced litigators who have been winning cases for our clients since 2014.

International Regulations & Cross-Border Investigation

Our team works closely with clients on cross-border cases involving financial regulatory compliance across multiple jurisdictions. International investigations can involve foreign regulatory bodies, such as the US Department of Justice (DOJ) and the Securities and Exchange Commission (SEC), which can add a further layer of distress for the subject of the investigation.

When you find yourself under scrutiny from multiple jurisdictions, you can rely on us to support you throughout the process of the investigation and defend your rights in Court if needed. We have experts fluent in over 10 different languages enabling us to provide a fully tailored service to our international clients.

Additional Services

No matter what a regulatory investigation or an advisory enquiry brings, our large team of experts will guide you through your case with confidence and certainty. Our portfolio of services includes:

• Banking & Financial Services
• Business Crime
• Dispute Resolution & Litigation
• Arbitration
• Mediation
• Asset Tracing & Recovery

Our Clients

The financial regulatory services we provide are suitable for anyone in the financial services who may be subject to regulatory and/or criminal investigations, including: 

• Traders
• Bankers (senior management)
• Hedge fund managers
• UK branches of international businesses
• Mortgage brokers 
• Investors
• Insurers
• Financial directors
• Corporate CFOs
• Cryptocurrency providers
• Financial advisors
• Wealth administrators

At Witan Solicitors, we can help you in conducting financial investigations, including but not limited to:

• Tax avoidance schemes
• VAT fraud
• Money laundering
• Proceeds of crime

Why Choose Witan Solicitors?

• 100+ Years of Combined Experience: With more than a century of experience amongst our team members, we are a leading expert on financial regulatory investigations
• Established in 2014: Our impressive track record dating back to 2014 makes us a legal partner you can trust
• Legal 500 Recognised: Our Solicitors have been recognised in the Legal 500
• Industry Experts: Regularly and banking law is a complex topic so we always stay in the know about new precedents and changes in the law
• Multilingual Support: Our team is proud to offer legal services in a selection of over 10 different languages
• Banking law experts near you: Our specialist regulatory crime and banking solicitors have offices in London, Birmingham and Northampton

All our clients are entitled to a free, initial consultation. This no-obligation discussion allows us to get to know the details of your case and suggest what we could do to help. It also gives you the opportunity to see how we work before you commit to hiring us to represent you. Book yours on 0300 303 2071 today.