Regulatory and Compliance

Changes in the regulatory arena have resulted in the authorities taking a more collaborative approach, increasing the reach of the arm of the law in the UK and US. The risk of failing to comply is greater than ever before.

Even firms in sectors that are not regulated are affected by regulatory requirements such as those relating to competition law, money laundering and financial crime. It is vital that businesses keep up to speed with developments and receive sound advice on ongoing supervision and compliance procedure issues.

Why we are different

Our Regulatory and Compliance Group brings together both UK and US lawyers with extensive experience in guiding individual and corporate clients through the complex maze of legislation and regulation at home and abroad.

We were one of the first law firms in the UK to develop a compliance product, Mishcon Assure, to assist our clients to understand the ambit of the new UK bribery legislation. In addition, our US lawyers have extensive experience in advising international businesses on the operation and effect of the Foreign Corrupt Practices Act 1977 (FCPA).

Our experience spans contentious and non-contentious arenas and is cross-departmental. Our data protection specialists ensure our clients’ policies maximise the value of their data whilst reducing the risk of regulatory sanction. Our Finance and Banking team provide clear advice on domestic and overseas financial regulation, including investigations, discipline and enforcement. Our competition lawyers advise individuals and boards on their competition law duties, review existing compliance policies and stress test procedures for dealing with unannounced inspections.

Our goal is to ensure our clients operate sound policies and procedures in compliance with relevant regulations. In the event of a breach, we act swiftly to minimise the potential consequences of non-compliance including managing reputational issues arising out of exposure to regulatory investigations and proceedings.

We have an extensive network of similar specialists all over the world, as well as relationships with investigators and prosecutors both in the private and public sectors. Our vast experience of working with regulatory authorities helps us to achieve exceptional results for our clients.

UK Services
US Services


Acted for FTSE 100 private equity house advising on scope of Bribery Act in particular relating to "associated person" provisions.

Acted in the high profile market abuse case in front of the FSA's RDC that involved Winterfloods. The case was ultimately decided by the Court of Appeal, which ruled on whether certain of the market abuse offences required a mental element.

Acted in the first ever case in front of the Courts to challenge the FSA's role in assisting the SEC by obtaining documents in the UK. Given that there are several hundred requests to the FSA each year to assist overseas regulators, the case was of real regulatory significance.

Appointed by the Court to be a representative respondent in the first case (Global Trader) to come before the Courts on the complex articulation of the FSA rules and the insolvency rules.

Engaged by investment banks to advise individuals who have faced investigation in relation to major prosecution and regulatory enquiries in Italy, Germany and Hungary.

Acted for individuals under investigation by HMRC in relation to allegations of irregular activities relating to the importation of goods from outside the jurisdiction.

Our associated office in New York has acted for clients who have been the subject of FCPA investigations by the Department of Justice and the Securities and Exchange Commission.

Our US lawyers represent clients in a wide range of criminal and regulatory actions, including those concerning the securities and tax laws, FCPA, Bank Secrecy Act, federal False Claims Act, and export controls, as well as the more general criminal law.

In the case of SEC v. Kamshad our US attorneys represented a senior investment manager in connection with an enforcement action by the SEC alleging ‘market timing’. We negotiated, on the eve of trial, the most favorable settlement among the then-numerous market timing cases.

Our US office has conducted numerous internal investigations recently for corporate clients of diverse size and focus. Among the issues involved in such investigations have been possible money laundering, alleged embezzlement and fraud, securities, improper employment practices, tax fraud, FCPA, and bribery.

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