Practice Areas

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Regulatory Enforcement

We have a proven track record of supporting our clients in relation to:

  • inspections by the Financial Regulator under MIFID and the UCITS legislation and compliance with post-inspection reports
  • breaches of strategic and required solvency margin requirements by insurers and reinsurers
  • on-site inspections by the Financial Regulator
  • obligations of listed companies and brokers under the Market Abuse Legislation
  • inspections by the Director of Corporate Enforcement
  • compliance obligations of listed companies under the Transparency Regulations and Listing Rules
  • enforcement steps in relation to breaches of consumer credit legislation
  • investigations of public companies by the Takeover Panel
  • audits and actions by the Data Protection Commissioner
  • examinations and inquiries by the Financial Regulator
  • the Financial Regulator’s administrative sanctions procedure
  • breaches of notification to the Financial Regulator in respect of changes in qualifying holdings

The team includes lawyers specialising in all areas of financial services:

  • Banking
  • Asset management
  • Investment funds,
  • Insurance
  • Pensions
  • Company law
  • Competition law
  • Litigation
  • Data protection