Disciplinary Proceeding & RSA’s

Our disciplinary work often involves representing leading firms and their partners.  They may or may not have made an error of judgment, or been in the wrong place at the wrong time.  Sometimes they are being called to account for the adequacy of their systems, supervision and accounts compliance following the discovery of a rogue partner or employee.  Our expertise in anti-money laundering can be invaluable in many of these cases.

Increasingly, firms are being invited to agree to Regulatory Settlement Agreements.  But these come with strings attached, and solicitors need to consider the implications carefully as there are traps for the unwary.