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Financial regulatory investigations

Expert legal advice regarding financial regulatory investigations across key sectors, including financial services, audit, accountancy and pensions.

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Overview Services Our team Our work What others say

We successfully support clients across all types of financial regulatory investigations and internal investigations.

This includes helping you balance your commercial objectives with complex regulatory frameworks, and delivering pragmatic advice on compliance obligations.

With expertise spanning the full range of business-critical disputes, internal and regulatory investigations, financial crime, and consumer redress, we help you resolve contentious regulatory issues swiftly and effectively.

Our financial services sector specialists assist clients in navigating FCA and PRA enforcement action, internal investigations and Section 166 reviews.

We also advise accountants, auditors and directors with investigations and disciplinary action commenced by the FRC and accountancy professional bodies such as the ICAEW.

Additionally, our market-leading pensions regulatory team provides unmatched expertise in handling regulatory matters for pension schemes of all sizes.

Services

FCA/PRA enforcement

Assisting clients to navigate regulatory enforcement processes, including hearings before disciplinary tribunals.

Internal investigations

Conducting internal investigations and advising on regulator led investigations, such as Section 166 reviews, covering a wide range of compliance issues.

FOS investigations and consumer redress

Advising on complex, high-value consumer redress issues, systemic issues leading to mass complaints and FOS investigations.

Financial crime

Supporting across the full range of financial crime, including insider trading and market abuse, AML, bribery, corruption and fraud, as well as overlapping criminal investigations by the FCA and SFO.

Audit and accountancy investigations

Supporting clients through investigations and enforcement actions by the FRC, ICAEW and other professional bodies.

Pensions regulatory investigations

Significant expertise from working on landmark investigations, including Silentnight, Brunel and Great Lakes.

Our team

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Examples of our work

Media business

Advising a multi-media marketing business on a large FCA investigation into whether it issued unauthorised financial promotions and conducted related regulated activities without authorisation, such as credit brokerage and insurance mediation.

Asset manager

Advising a retail asset manager on an internal investigation, with parallel FOS and FCA engagement, into potential systemic due diligence failures by its SIPP or platform business.

Top six audit firm

Acting for a leading audit firm on a substantial FRC investigation into the adequacy of its systems and controls or enforcing audit ethics rules.

Silentnight

Advising on the regulatory investigation, addressing complex corporate insolvency and pension scheme funding issues, successfully ensuring compliance with the Pensions Regulator’s requirements.

SIPP operator

Advising a SIPP operator on the handling of a large volume of linked FOS complaints arising from a business introduced by IFAs without the correct FCA permissions.

Top six audit firms

Acting for major audit practices on FRC investigations into the quality of their audits across a range of accounting issues, including alleged failures to identify fraud, claims provisioning by insurance companies, revenue recognition, cash testing and valuation of intangible assets.

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What others say

“Burges Salmon are an extremely formidable force on the claimant-side of professional negligence claims. They deal with very high-value claims with precision and prepare them extremely well. Many of the cases settle at an early stage because Burges Salmon have achieved such a good result for their clients.”

Legal 500 UK 2025

“The Burges Salmon professional negligence team are very experienced not only in professional negligence work but also the underlying subject matter, e.g., insurance, pensions, etc. They have real strength and depth. ”

Legal 500 UK 2025

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Insights

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