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.