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Regulatory and Disciplinary Investigations

Organisations and individuals increasingly find themselves as the subject of regulatory and disciplinary investigations. These matters are often extremely complex and operate on many levels engaging regulatory, criminal and employment law issues. Bivonas Law acts across all these legal disciplines. The gravity of these investigations often means that they can have ramifications for future careers.

Bivonas Law has acted in high profile regulatory and disciplinary proceedings. We advise FCA approved professionals subject to regulatory action. We advise organisations and financial professionals in both contentious and non-contentious circumstances. We defend regulatory enforcement proceedings, often acting for individuals against regulatory authorities. Some examples of our work include:

  • Advising a bank in relation to the conduct of an internal investigation involving Bribery Act 2010 allegations and assisting in the preparation of the report to the Prudential Regulation Authority.
  • Representing LIBOR submitters and derivatives traders in regulatory proceeding brought by a US Regulator and the FCA into LIBOR manipulation. Bivonas Law acted in the investigation stage and before the Regulatory Decisions Committee.
  • Advising the C-suite of a bank on handover certificates, regulatory references and the Conduct Rules for the purpose of CEO authorisation in accordance with the Senior Managers and Certification Regime.

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