Services For Regulators
Stephen Platt & Associates are expert in the conduct of regulatory investigations and in the development of regulatory policy.
We have acted as Inspectors and Appointed Persons in some of the largest and most complex offshore regulatory investigations of recent years. We are trusted by regulators to advise in matters of great sensitivity, including in situations where the conduct of the regulator itself is in question. We have gained a reputation for giving a 'firm steer' and not dodging the difficult questions; an approach which is of great value to our clients. Many of our people are barristers by training; our clients benefit from their expertise in the conduct of interviews, the analysis of large volumes of documentary evidence, and the provision of cogent advice.
Our services in relation to investigations include:
- Advice prior to the commencement of investigations
- Assistance with the identification of the most relevant areas to pursue where resource or other constraints make it impossible to explore all potential areas of interest
- Strategic and tactical counsel throughout the course of investigations
- Advice on legal questions arising in the course of the conduct of investigations
- Documentary analysis and the identification of salient areas of questioning in relation to interviews
- The conduct of interviews
- The provision of advice in relation to the evidence disclosed by both documentary evidence and interview transcripts
- Drafting of regulatory charges
- Advice on the handling of press and other enquiries
We are also frequently instructed to assist regulators in the formulation and promulgation of policy.
SPA’s experience in the provision of services to regulators includes:
- Appointment as Inspectors under the Companies (Jersey) Law in the course of instructions received from the Jersey Financial Services Commission
- Engagement as Appointed Persons of the Guernsey Financial Services Commission pursuant to investigations conducted under the Protection of Investors (Guernsey) Law
- Numerous Reporting Professional appointments under the Financial Services (Jersey) Law
- The conduct of an investigation into the collapse of a large and complex investment fund
- Assistance to the Dubai Financial Services Authority in relation to the regulation of trust company businesses
- Assistance to the Singapore Monetary Authority in relation to the regulation of trust company businesses
- The provision of advice to the Mauritius Financial Services Commission in relation to the development of AML guidance
- The development of the Jersey Financial Services Commission AML Handbook