Investigations

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The Ministry of Justice has sweeping enforcement powers which range from an initial letter challenging a business practice, to the very serious penal sanctions. In recent years, the MoJ has been far more proactive and it is clear that this more intrusive approach is going to be stepped up.

More frequently we are seeing the MoJ conduct supervision based reviews which are looking more into day-to-day operational matters and evidencing how you comply with your regulatory obligation has never been more important. Potential non-compliance can lead to sanctions against the firm or limiting or removing the firm’s authorisation.

Given our experience in this sector we can assist with all parts of an investigation. From experience, we will know how to remedy issues and with whom to talk to in order to ensure that issues are resolved quickly and help minimise the risk of serious enforcement action.

If you would like some more information regarding the wide range of work we do for finance firms, please get in touch to learn more about our services and what Thistle Initiatives can do for you

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