Compliance, Regulatory and Internal Investigations

We can assist you to conduct investigations or to respond if you are subject to an investigation.

Our bespoke teams have the experience in investigative and consulting work to improve management information and enhance decision making. We conduct precise and effective investigations uncovering, deciphering, or interpreting important information that helps decision-makers address and mitigate risk, protect assets, improve surveillance and strengthen compliance.

Compliance

Financial institutions are now subject to an unprecedented degree of regulatory scrutiny. It has been reported that by 2020, global banks will be required to comply with over 120,000 pages of regulation. GFE’s expert teams of experienced senior banking professionals can be called in on a rapid response basis to provide support to compliance and risk functions in relation to asset-class specific issues.

Many of our experts have advised the boards of banks and have had direct experience with monitors, section 166 FSMA 2000 skilled persons reviews and the Senior Managers and Certification Regime. Our experts can give fast and accurate opinions on issues unearthed by compliance. As former banking professionals, they can assist senior management with sub- optimal culture, practices or potential regulatory violations.

Regulatory

We have been engaged in many important regulatory investigations and our overall experience is significant. A summary of defence work in 2015 and 2016 against regulators includes cases involving the CBRC (China), the DoJ (USA), the FCA (UK), the FINMA (Swiss), the HKMA (HKG), and the MAS (Singapore).

Non-Regulatory

These discrete mandates may be pre-emptive to any regulatory enquiry. We bring to law firms additional market insight allowing them to leverage our expertise in complex trading and financial risk. We have conducted reviews for major non-financial organisations.