Our experienced team guides clients through the legal, regulatory and reputational challenges such situations present.

We assist clients to deal with regulatory concerns upfront, ensuring good governance and the avoidance of potential enforcement action. Where enforcement action is initiated, we assist clients with the process from investigation through to, if required, settlement.

Our Regulatory Investigations team draws from the combined resources of our Financial Services, Litigation and Dispute Resolution, Governance, EU and Competition and Technology and Data Privacy teams.

Experience

• Advising regulated financial services providers on the Central Bank’s Administrative Sanctions Procedure.
• Providing senior officers of regulated entities with independent advice on the Administrative Sanctions Procedure.
• Advising senior executives of regulated entities on the Central Bank’s fitness and probity requirements and the Senior Executive Accountability Regime.
• Advising on the scope of Management Liability/D&O insurance policies concerning investigations carried out by the Central Bank, the Office of the Director of Corporate Enforcement, the Garda National Economic Crime Bureau and other authorities to include the ‘Anglo’ investigations and trials.
• Acting for senior executives in investigations carried out by the Central Bank to include the ‘Tracker Mortgage Examination’.
• Acting on behalf of regulated entities in claims seeking Orders for Judgment before the High Court.
• Advising senior executives who were required to give evidence before Oireachtas inquiries to include the ‘DIRT Inquiry’ and the ‘Banking Inquiry’.
• Acting for senior executives the subject of criminal investigations carried out by the Office of the Director of Corporate Enforcement and the Garda National Economic Crime Bureau.
• Advising corporates, executives and professionals on their reporting obligations to An Garda Siochana under Section 19 of the Criminal Justice Act 2011 and under the Criminal Justice (Money Laundering and Terrorist Financing) Act 2010.