Regulatory interventions

DWF’s regulatory interventions practice supports financial services firms through supervisory and enforcement actions, helping mitigate disruption, manage regulatory risk, and protect business continuity during complex investigations and enforcement proceedings.

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Regulatory interventions are a defining feature of the financial services landscape. Our team combines regulatory insight with practical legal expertise to support clients navigating FCA interactions and regulatory scrutiny. We recognise that interventions can arise from a range of triggers, including thematic reviews, whistleblowing, market events, or supervisory concerns. Our approach is grounded in early engagement and strategic foresight: we help clients anticipate regulatory expectations, respond effectively to supervisory queries, and manage the risks of escalation. Where enforcement action is initiated, we provide robust defence strategies, informed by our extensive experience. We also support clients in remediation, governance reform, and cultural change, ensuring that regulatory compliance enhancements are embedded and future risk is mitigated. Our interventions work is closely aligned with our broader financial services regulatory practice, allowing us to draw on expertise in areas such as perimeter issues, product governance, and client communications. Whether advising on Skilled Person reviews, responding to FCA investigations, or managing reputational risk, we are trusted by clients to deliver clear, commercial advice under pressure.

DWF’s financial services regulatory interventions team brings together deep sector knowledge, legal precision and commercial pragmatism to support clients facing supervisory scrutiny or enforcement action. Our lawyers and regulatory consultants work collaboratively to deliver tailored advice that reflects the realities of operating in a highly regulated environment.

We understand the regulatory lifecycle and the triggers that lead to intervention, from thematic reviews and whistleblowing to market events and supervisory concerns. Our team is adept at managing Skilled Person reviews, FCA investigations, and remediation programmes, ensuring clients are supported from initial engagement through to resolution. We also draw on the strength of our broader financial services regulatory practice, including specialists in wealth management, prudential regulation, and consumer credit, to provide holistic advice. Our interventions work is underpinned by a commitment to clarity, responsiveness and strategic foresight, helping clients to navigate regulatory challenges and to emerge more resilient. Whether advising on governance reform, cultural change or reputational risk, we deliver insight grounded in experience and informed by a deep understanding of the regulatory landscape.

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Get in touch with a member of our team by using the details below or completing the form.

T +44 333 320 2220
F

+44 333 320 4440

E wal.fwd@seiriuqnEFWD

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