Dispute Resolution

Regulatory Disputes & Investigations

In light of technological advancements and complex business structures, regulators are robustly introducing new regulatory regimes. Navigating the complexity of regulatory obligations is challenging. However, at Quastels, we provide comprehensive support to manage regulatory disputes and investigations effectively, minimising disruption and safeguarding business operations.

Robert-Kay-2-1-scaled-e1736523216257
Robert Kay

Partner

Dispute Resolution

Key Contact

Regulatory Disputes & Investigations

An introduction to Quastels

We advise all businesses (from blue chips corporations to SMEs) and high profile individuals on all aspects of Regulatory Disputes & Investigations. Our experienced team supports clients through every stage of the process, from investigations to enforcement and recovery.

We have extensive experience assisting clients with industry regulators such as the Financial Conduct Authority (FCA) and the Solicitors Regulation Authority (SRA), as well as government bodies including His Majesty’s Revenue and Customs (HMRC) and the Health and Safety Executive (HSE).

We provide strategic representation during investigations and regulatory events (including raids), seeking to minimise business disruption and protect legal and reputational interests. In cases where reputational risk arises, we leverage our expertise in Reputation & Defamation, to provide protection and mitigate damage. Our cross-practice approach also enables us to address secondary issues through our Employment and Corporate & Commercial teams.

Regulatory Disputes & Investigations

Our Regulatory Disputes & Investigations services

Find out more about our expertise

We advise on all matters, from compliance and risk management through to penalties and enforcement. Our services include:

Raids and Interviews

Preparing clients for investigations, advising on cooperation with regulators, and minimising commercial exposure and disruption.

Risk Management & Compliance

Reducing the risk of being investigated, limiting disruption in the event of an investigation, and ensuring compliance to prevent enforcement actions.

Representation

We help build a strong defence against any regulatory disputes and represent clients throughout proceedings.

Appeals

Handling the timely contesting of penalties such as suspension, fines and orders.

Regulatory Disputes & Investigations

Our approach

Our approach

Expert guidance

At Quastels, we take a proactive, partner-led approach to regulatory disputes. We are committed to delivering expert guidance that minimises reputational, financial, and operational risks.

Our approach

Collaboration

Our ability to draw on cross-departmental resources and international expertise ensures we can address even the most complex disputes effectively.

Our approach

Forward thinking

By focusing on clients’ long-term objectives and future plans, we deliver solutions that provide lasting benefits.

Examples of our expertise

Our Expertise in Regulatory Matters

Managing complex multi-jurisdictional compliance audits and internal investigations to identify and address regulatory vulnerabilities.

FCA Market Abuse Investigations

Advising on multi-million-pound investigations by the Financial Conduct Authority (FCA) involving allegations of market abuse.

SRA Professional Conduct Representation

Representing a client in a high-profile Solicitors Regulation Authority (SRA) investigation regarding professional conduct.

Defending HMRC Enforcement Actions

Defending against HMRC enforcement actions, including tax compliance reviews and investigations into alleged tax avoidance schemes.

HSE Workplace Incident Investigations

Advising on Health and Safety Executive (HSE) investigations following workplace incidents and ensuring compliance with regulatory standards.

The Quastels team

Our Regulatory Disputes & Investigations Experts

Robert-Kay-2-1-scaled-e1736523216257
Robert Kay

Partner

Dispute Resolution

Daniel-Blake-2-yellow-scaled-e1737044227190
Daniel Blake

Partner

Dispute Resolution

Simon-Grossobel-2-1-scaled-e1736522853753
Simon Grossobel

Partner

Dispute Resolution

Ann-Jou-Goh-2-2-e1736443119770
Ann Goh

Solicitor

Dispute Resolution

Brian-Baek-2-1-scaled-e1736520353336
Brian Baek

Paralegal

Dispute Resolution

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