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Financial Services Regulatory Investigations and Disputes

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Our Financial Services Regulatory and Investigations Disputes practice brings together technical experts, highly skilled litigators, strategic leadership and the innovative solutions necessary to advise clients faced with significant corporate and reputational issues and complex regulatory and compliance issues that arise in the area of financial services.  Working closely with related specialist practice groups in the firm as well as leading law firms in overseas jurisdictions, experts in forensic investigations and other relevant disciplines, we provide a seamless service and we guide our clients on how best to interact with their regulators with the ultimate aim of helping achieve a positive outcome.

This includes advising them on their interactions with the Central Bank of Ireland and navigating the administrative sanctions procedure, fitness and probity requirements and corporate governance.  We also advise on insider dealing and market abuse issues, consumer credit matters and anti-money laundering issues.  We also regularly advise in relation to compliance by regulated entities with the Central Bank Codes of Conduct and in dealing with customer complaints and litigation and associated remediation issues.

The evolving regulatory environment has resulted in increased challenges across a number of sectors in terms of compliance, not only in relation to financial services firms but other internationally focused organisations including those in the Fintech industry. We regularly work with clients on internal investigations and advise on mandatory reporting obligations as they affect the financial services sector.

Our clients include retail and wholesale banks, MiFID firms, payment institutions, retail credit firms, credit servicing firms, brokers, stockbrokers, insurance companies and other intermediaries as well as directors, officers and employees of those firms.

Our related Digital Services Group uses the most up to date technology for the management of large-scale document review resulting in significant efficiencies in cost and time. We advise clients on cyber security and data protection obligations in the context of investigations and we are leaders in this field.


Our Team

Experience Highlights
  • Advising a number of insurance companies in relation to Covid 19 - related business interruption claims, internal investigations and related regulatory and reporting obligations.
  • Advising a major insurance broker in connection with a dawn raid by the European Commission in connection with alleged anti-competitive practices.
  • Advising domestic and international regulated financial services firms in the context of the Central Bank’s administrative sanctions procedure, including, recently, in relation to alleged contraventions of outsourcing regulations; AML legislation; Solvency II; corporate governance and conduct matters.
  • Advising a domestic bank on a significant administrative sanction matter and its subsequent settlement with the Central Bank of Ireland.
  • Advising an entity regulated under the Central Bank Act in relation to a large scale remediation project and Central Bank investigation and enforcement action.
  • Advising credit servicing firms and investment funds in relation to interest overcharging issues affecting acquired loan portfolios and associated remediation projects.
  • Advising a financial institutions in relation to the design and implementation of a remediation scheme for customers arising out of mis-selling claims relating to certain investment products and assisting on their dealings  with the Central Bank of Ireland and the Financial Services Ombudsman.
  • Advising a Credit Union in connection with a dispute with a Trade Union and related dealings with the Central Bank.
  • Advising the Special Liquidators of IBRC in connection with its implementation of Central Bank’s tracker mortgage examination framework. 
  • Advising directors officers and employees of financial services firms in connection with their involvement in investigations by the Central Bank.
  • Advising senior executives and financial services firms in connection with issues and investigations arising from the Central Bank’s Fitness and Probity Regime.
  • Advising a public limited company before the Irish Financial Services Appeals Tribunal in successfully challenging the Central Bank of Ireland’s decision to oppose an acquisition.
  • Assisting international clients in stress-testing and revising ABC policies to take account of local laws.
  • Advising global custodians of regulated and non-regulated funds in connection with their obligations relating to their custody of securities and other assets under Irish law.
  • Acting for a fund administrator in relation to matters arising from a themed inspection.
  • Acting for an insurer providing advice on significant and material regulatory issues arising in its capital requirement and helping the client manage reputation management and a remediation project.

“They have a wide base of knowledge and experts in different fields that facilitate resolution of legal matters easily.”
Financial Services Regulatory: IFLR1000 33rd edition 2023