Financial & Regulatory

Prospect Law advises corporate clients on national and international laws and regulations relating to the prevention of bribery and corruption, money laundering, trading standards, environmental protection, and compliance with health and safety regimes

We have experience of investigations and prosecutions brought in the UK by the Financial Conduct Authority, the HMRC and the Serious Fraud Office, in the US by the Securities and Exchange Commission, and in Hong Kong by the Commercial Crime Bureau of the Hong Kong Police, the Independent Commission Against Corruption, and the Securities and Futures Commission.

Financial Investigations

  • Internal investigations into suspected regulatory breaches
  • Approaches to and negotiations with investigative agencies
  • Anti-bribery and anti-money laundering compliance policies and staff training
  • Interviews in the UK by prosecuting authorities conducted either under caution or under Section 2 notices
  • Searches by prosecuting authorities of commercial and domestic premises
  • Coverage by Directors and Officers (D&O) and other insurance policies
  • The application of and challenges to Restraint Orders
  • Preparation for and attendance at trials, appeals, and confiscation proceedings

Environmental Protection and Health and Safety

  • Access to 24 hour emergency response in the event of a serious on site incident
  • Representation during the criminal investigation of accidents including representation during PACE interview and representation in the Magistrates’ Court and Crown Court
  • Appeals against improvement and prohibition notices
  • Advice on the HSE fee structure
  • Advice on health and safety regulations including RIDDOR, COSSH and COMAH; and
  • Advice on internal accident investigations and the application of legal privilege

For more information please contact Edward de la Billiere on 020 7947 5354 or by email on: edlb@prospectlaw.co.uk.