Regulatory

Regulatory

We deliver realistic and valued regulatory advice to complex compliance issues.

Babbé’s regulatory team specialises in providing high quality legal advice and support on regulatory issues. We strive for excellence, to deliver exceptional client service to help our clients meet their regulatory obligations, respond to regulatory investigations and interventions when the continued operation or reputation of the individual or the business is at stake. We advise on a diverse range of contentious and non-contentious regulatory issues, including regulatory investigations, AML/CFT, sanctions, data protection, risk, enforcement or any other transaction in which compliance is required.

Regulations are often complex and place additional pressure on companies and individuals, as the penalties for non-compliance are severe. Our experienced regulatory team can help you avoid the pitfalls by ensuring preventative measures are in place and will provide guidance and support through any challenges.

  • Anti-money Laundering (AML) and Combating the Financing of Terrorism (CFT)
  • Sanctions
  • Data Protection & Cybersecurity
  • Corporate Crime & Investigations
  • Transaction Regulation Advice
  • Fiduciary Regulation Advice
  • Investment Funds Regulation Advice
  • Acting for the directors of a US company in a complex regulatory dispute worth over $20 million involving a major global bank.
  • Obtaining an administration order and interim injunctive relief on behalf of a regulator in relation to a non-compliant closed-ended fund and its investment manager.
  • Advising on complex regulatory issues on a £200 million disposal by an open-ended collective investment scheme.
  • Located in the heart of an international financial centre, we have experience in handling a wide range of multi-jurisdictional regulatory matters, involving individuals and entities based in a multitude of jurisdictions across Europe, the U.S and the Middle East.
  • We understand sanctions regimes and have experience of dealing both with Financial Intelligence Units and the domestic Policy Council.
  • We have provided regulatory advice and services to asset management, insurance and fiduciary service providers, as well as to Non-Regulated Financial Services Businesses (NRFSBs).
  • We acted for various directors in relation to regulatory enforcement actions.

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Accreditations & Awards