Practice areas

We have extensive and in-depth experience of assisting clients with remedial activities - both as a pre-emptory measure and as a result of a specific direction from the regulator.  This includes post-ARROW visit remedial work and advising in relation to s.166 actions.

Our recent experience includes leading on internal remediation project at a high-profile asset management firm - this assignment included the production of various detailed reports, liaison with the FSA, heavy interaction with senior management and fund managers and chairmanship of an internal committee, comprising the CEO, CFO, CIO, senior fund manager, General Counsel, Head of Compliance and Head of Dealing.