Regulatory, Governance & Investigations

For businesses in almost every sector, regulatory and compliance obligations have never been more demanding.

Even businesses operating in a non-regulated sector may still be the subject of requirements relating to anti-money laundering and bribery regulations, health and safety policies and measures to combat financial crime.

With firm-wide experience in contentious and non-contentious regulatory and compliance matters, we are well placed to advise and assist a wide range of clients.

We also have experience advising professional regulators on policy and other matters.

We can help with:

  • Establishing an investment or other regulated business in the UK
  • Advising on the regulatory requirements with which businesses must comply
  • Preparing a suitable data protection, anti-money laundering and/or other compliance policy
  • Advising on how best to conduct an internal investigation following a suspected breach of regulatory or compliance requirements, or providing representation at such an investigation
  • Representation before the FCA or PRA, or in cases brought by other prosecuting authorities (such as the SFO, HSE or HMRC)

Our strength in regulatory and governance work is linked to the breadth of expertise and experience offered by our wider firm, particularly in areas such as employment, corporate, intellectual property, insolvency and financial services. We also have specialists who can advise on sensitive criminal matters, including matters under the Proceeds of Crime Act 2002.

For legal updates and news, please visit the Fladgate Dispute Resolution Hub.

If you have any questions or queries please call Sophia on +44 (0)20 3036 7275 or email

The “excellent” practice at Fladgate LLP, headed by Sophia Purkis, represents corporates and individuals in investigations and prosecutions.

Legal 500
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The “excellent” practice at Fladgate LLP, headed by Sophia Purkis, represents corporates and individuals in investigations and prosecutions.

Legal 500

The practice is noted for “the way in which a single partner is careful to take care of the quality of the work and ensures that the relative specialists perform their work to a consistently high standard”.

Legal 500

  • Several banks and hedge funds – implications of the Eurozone break-up.
  • UK bank – regulatory investigation involving Client Money Rules.
  • Senior executive of a City investment bank – FCA investigation into suspected insider dealing and market abuse.
  • Employer client – defending an employer in an HSE prosecution under the CDM regulations.
  • Individuals – advising in connection with allegations concerning LIBOR and the manipulation of the inter-bank borrowing rate and FX rigging.
  • Investment managers, asset managers and fund sponsors – FCA authorisation and compliance issues.
  • AIM listed companies – acting for directors in connection with high profile investigations by the FCA.
  • Employer client – defending a client in an HSE prosecution arising out of a fatal accident at a large processing site.
  • Individuals – acting for individuals in inquiries by the take-over panel for alleged breaches of its code.
  • Individuals – advising and representing individuals before their professional association when facing professional disciplinary proceedings.
  • Construction company – advising in relation to corrupt practices undertaken by its suppliers.