Regulation (banking, financial, professional disputes)
Disputes and investigations where regulatory defensibility is critical
Regulatory matters are rarely confined to “the regulator”. They often sit alongside civil claims, employment investigations, governance risk and reputational exposure. The overriding requirement is defensibility: process, documentation and privilege discipline must withstand scrutiny.
STA Legal advises financial institutions, investment platforms, professional practices and regulated service providers on disputes and investigations with regulatory sensitivity, including AML, sanctions, governance and conduct risk issues.
Our regulatory disputes expertise
Regulatory investigations and enforcement-facing matters
We advise on:
- Responding to regulator enquiries and investigations
- Internal investigations and forensic reviews (with privilege strategy)
- Managing parallel civil claims, complaints and disciplinary exposure
- Governance remediation planning and board reporting frameworks
Financial regulation and conduct risk disputes
We support on:
- Payment-services disputes and regulatory non-compliance issues
- Disputes linked to licence conditions and compliance challenges
- Recoveries, enforcement and cross-border actions for lenders and insurers where regulatory constraints apply
- AML/CTF risk assessments, policies and internal controls; sanctions compliance; SAR-related governance (process support)
Professional regulation and practice governance
We advise firms on regulatory frameworks relevant to their sector, including:
- SRA, ICAEW, ACCA, RICS, FCA (for advisory arms) and other professional regulators
- Complaints handling systems and defensible outcomes
- Regulator-sensitive partner/member disputes and exits
Contact us
Manage a regulator-facing dispute or investigation
Conduct a privilege-protected internal review
Design a defensible remediation and communications strategy aligned to legal risk