Sentences with phrase «investigations by regulatory bodies»

He specialises in financial services advice, and has experience handling large - scale fraud cases, investigations by regulatory bodies, and professional negligence.

Our team is on hand 24/7 to provide clients with crisis support when faced with major incidents and investigations by regulatory bodies, such as the Police, HSE, Local Authorities, Environment Agency and Fire Services, for breaches of health & safety, fire safety, food safety, trading standards and related regulations.

Our professional practices team can advise you if you are facing, or are at risk of facing, a disciplinary or fitness - to - practise investigation by your regulatory body.

Not exact matches

As mentioned above, organic formula manufacturers will have to pass investigation by certain organizations for their products to be certified and sold as well as standard food regulatory bodies such as the FDA.

We defend clients in investigations and enforcement actions brought by regulatory bodies across the country, including the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Department of Labor, the New York Stock Exchange, the American Stock Exchange, the National Futures Association, the Commodity Futures Trading Commission, the Chicago Board of Options Exchange, the Chicago Mercantile Exchange and the Chicago Board of Trade.

Ms. Gaudoin has experience in investigations and enforcement proceedings brought by the Serious Fraud Office, the UK Financial Conduct Authority, the National Crime Agency and other regulatory bodies.

The OFT's recommendations are the result of the first detailed investigation by the UK competition regulatory body into the issue of private enforcement of competition law in the UK.

Our lawyers have acted for architects, engineers, lawyers, dentists, and accountants in professional errors and omissions claims, advised clients before professional regulatory bodies, acted for professional administrative bodies, provided advice regarding investigations conducted by administrative authorities, and have acted in judicial reviews of decisions made by professional regulatory bodies.

The Firm has also assists various regulatory bodies with investigations and prosecution of misconduct by its members.

2 - 23.2 (1) A lawyer must not practise law in an MDP unless (a) the lawyer and all members of the MDP are in compliance with Rules 2 - 23.1 to 2 - 23.12 and the Professional Conduct Handbook, (b) all lawyers who are members of the MDP have obtained express permission under this Division to practise law in the MDP, (c) all non-lawyer members of the MDP are of good character and repute, (d) all members of the MDP agree in writing (i) that practising lawyers who are members of the MDP will have actual control over the delivery of legal services by the MDP, (ii) that non-lawyer members of the MDP will not interfere, directly or indirectly with the lawyer's (A) obligation to comply with the Act, these Rules and the Professional Conduct Handbook, and (B) exercise of independent professional judgement, (iii) to comply with the Act, these Rules and the Professional Conduct Handbook, and (iv) to cooperate with and assist the Society or its agents in the conduct of a practice review, examination or investigation, and (e) all members of the MDP who are governed by the regulatory body of another profession agree to report to the MDP any proceedings concerning their conduct or competence.

CVM focuses on investigations in the administrative sphere and may benefit from information obtained in investigations by self - regulatory bodies.

Our attorneys defend corporations and individuals, including directors and officers, in investigations and enforcement actions by federal and state agencies, self regulatory organizations, and professional licensing bodies.

investigations by local regulatory bodies, covering a wide range of issues, including governance, remuneration, complaints handling, insider dealing and market abuse, as well as enforcement more widely, including cross-border regulatory investigations

As well as providing a service to individuals, the team regularly advise companies on investigations which may be carried out by a range of regulatory bodies.

Advising financial institutions in investigations by various regulatory bodies, including the Hong Kong Securities and Futures Commission, the Hong Kong Monetary Authority, the China Securities Regulatory Commission and the US Securities and Exchange Commission.

We also act for and advise the firm's clients facing prosecution or investigation by other regulatory bodies, including Trading Standards, local authorities and the Civil Aviation Authority.

The team has experience of assisting its clients through investigations, interviews and subsequent prosecutions by the Health and Safety Executive and other regulatory bodies.

Management must appreciate from the outset that internal written communications about the reasons for the investigation will not be privileged and may be accessed by a regulatory body.

Filing a complaint typically triggers a process by the relevant regulatory body entailing notice to the accused and the employer, an investigation, a conclusion and consequences.

While there can be many reasons why a registrant may refuse to accept a consent resolution to a bona fide, serious complaint, if the investigation committee had first proposed a non-disciplinary way to deal with that registrant's underlying addiction and address the resulting negative effects, such a rejected proposal can be used to demonstrate that the regulatory body did not discriminate against that registrant by then moving on to a disciplinary hearing.

investigations by and applications to foreign governments and international regulatory bodies and organisations; and

A specialist defence lawyer in the areas of financial crime, fraud and regulatory investigations, Michael has acted for individuals in investigations brought against them by regulatory bodies including the SFO, FCA and the Fraud Prosecution Service.

Her work includes representing clients in defending action by regulatory bodies (such as the Care Quality Commission), safeguarding investigations, coroner's inquests, police investigations and criminal prosecutions.

Our firm's energy litigators, a number of whom have previous government experience at the FERC, Environmental Protection Agency and Department of Justice, regularly represent clients in complex regulatory litigation before, and investigations undertaken by, the FERC, the departments of Energy, Commerce, the Interior, and Agriculture, and many other federal and state regulatory bodies.