Banking
Jeremy Gordon’s lawyers regularly represent banks and their executives facing sensitive and complex regulatory issues.
Jeremy Gordon’s lawyers regularly represent banks and their executives facing sensitive and complex regulatory issues.
Our team has deep expertise in navigating inquiries, investigations, and enforcement actions, and providing pragmatic commercial solutions.
We have a proven track record of successfully engaging with a wide range of UK regulators and prosecutorial bodies including the FCA, PRA, BoE, SFO, OFSI, FRC, HMRC, the NCA and the security services, as well as international and supra-national organisations, including the US DoJ, OFAC, FRB, the UN and World Bank.
Our lawyers provide benchmarking, horizon-scanning and strategic advice on a wide range of regulatory issues, including FCA and PRA supervision, FSMA and Listing Rules compliance, money laundering, corruption, market abuse, systems and controls, and whistleblower matters.
We offer comprehensive support to mitigate the risks of regulatory intervention, and assist banks respond to regulatory enquiries such as “Dear CEO” letters, and data/document requests. Should a regulatory investigation or enforcement occur, our civil and criminal expertise enables us to take immediate action to challenge the action, minimise the disruption to you and to mitigate investor concerns.
Our lawyers have experience representing banks and executives at regulatory and prosecutorial interviews (under caution and voluntary), and defending them through the investigative process, Final Notices, tribunals and the High Court Upper Tribunal.
A senior member of our team spent three years seconded to a global bank, where he successfully defended the bank in multi-jurisdictional Monitor and Skilled Person reviews for the US DoJ and FCA across EMEA and Asia-Pacific.
A separate senior member of the team spent two years seconded to the FCA’s Enforcement & Market Oversight Division (EMO) in the Retail investigations department while at the Bar and then two years as a full time member of the Criminal Prosecutions Team.
“From the day we appointed Tim and his team, the communication with us was outstanding, always at the end of the phone or email, more than often outside office hours, with a fantastic level of knowledge.”
“The professionalism throughout was exemplary, I felt I was always able to make contact and receive feedback from the start to the end of the process. Ben was a much needed calming influence throughout.”
“I am really happy with and grateful for the service Stephen have rendered, which I think has been of high quality. Stephen's advice and insights have always been clear and with my best interests in mind. There are very few professionals I have worked with in either my business or personal life who have been as consistent as Stephen has at doing what he promised, at the time he promised it.”
“I would like to say the service from Anthony was excellent. Whilst I see people, including my co-defendants getting frustrated with their legal team (ie. not being able to contact them and not getting questions answered), I have had a great service and was always satisfied from start to finish.”
“Kim’s always gone the extra distance in times of need and always been ever so easy to talk especially in times of stress. Kim’s very thorough and diligent in her work who’s judgement and opinion I’ll always trust. Kim’s always been readily available and if not - very prompt in getting back to me. I’ve recommended Kim to friends over the years and they’ve always thanked me in doing so as she’s provided them with the same level of care and attention. It’s been very reassuring having Kim in my corner.”