Dispute resolution & regulatory investigations

The multiplication and growing importance of regulatory constraints is a major risk for companies and their managers, as their failure to comply with them leads to more litigations.

Many companies belonging to various sectors, including banking and finance (e.g., listed companies, banking institutions, and investment funds), are now subject to significant regulatory constraints and to the control of an ever-increasing number of administrative authorities, such as the Financial Markets Authority (AMF), the Competition Authority (ADLC), the Prudential Control and Resolution Authority (ACPR) or the French Anti-Corruption Agency (AFA).

With real authority and influence, these authorities have various powers to achieve their missions, including control, investigation, and sanction. Thus, after having conducted sometimes heavy investigations, the AMF or ACPR Sanction Commission pronounces dozens of sanction decisions each year concerning, for example, insider trading, diffusion of false information or breaches of professional obligations.

Therefore, it is essential for companies to be assisted throughout the proceedings initiated against them by administrative authorities in order to minimize the risks incurred. In this respect, we have extensive experience in assisting our clients in controls and investigations, in negotiating agreements and in defending them in litigation.

Your challenges

Implementation of tools to prevent and avoid administrative procedures. Assistance or representation in the context of investigations and regulatory litigation. Development of effective defense strategies.

A clear understanding of regulatory requirements

A clear understanding of regulatory requirements to which they are subject allows companies to comply with them and thus avoid administrative proceedings that could lead to sanctions.

A precise understanding of procedures and risks

In order to raise awareness among individuals and companies of the challenges related to regulatory procedures, they must understand the procedures and the risks they incur.

Good risk management

The adoption of preventive and efficient risk management tools allows companies to act in compliance with legal and regulatory requirements and to secure their activities.

Assistance or advice during regulatory controls and investigations

Professional assistance or advice during controls and investigations (documentary inspections, interrogations, visits, and seizures) can help reduce the risk of prosecution and improve procedural control.

Controlled communication of information to administrative authorities

The information provided by companies to the authorities must be controlled in order to preserve arguments and means of defense that could be raised in the event of litigation.

Assistance or representation before the sanctioning bodies of administrative authorities

Assisted and represented by professionals during hearings before sanctioning bodies, companies ensure an effective defense with the aim of exonerating them from liability or minimizing it as much as possible.

Our way

Assistance and representation of companies in complex administrative investigations and procedures before major administrative authorities.

Precise knowledge of stock exchange, banking and financial criminal law as well as regulatory requirements in force

We have a recognized expertise in stock exchange, banking and financial criminal law, as well as a detailed knowledge of regulatory requirements, allowing us to quickly understand the problems encountered by our clients.

A strong experience in investigations and administrative procedures

We have accumulated experience over the past ten years in handling major cases relating to the Libor affair, insider trading and tax fraud, conducted by various administrative authorities.

Support throughout the control and investigation phases

We assist our clients during all the control and investigation phases they face. We prepare and assist them throughout the entire procedure.

The ability to provide a solid defense in complex administrative litigation procedures

Our precise legal analysis and convincing presentation of the facts, combined with the implementation of long-term strategies, allows us to implement relevant means of defense, whatever the administrative authority involved.

An ability to adapt

We assist our clients in regulatory procedures before various administrative authorities and we adapt precisely to regulatory requirements in force and procedural rules. We also adapt to the specificities of our clients in order to give them a personalized treatment.

Anticipation of risks

We have extensive expertise in compliance, enabling us to deploy compliance programs aimed at identifying and preventing risks, including regulator risks, within a company.

Clients' stories

How to handle an ACPR inspection?

Dealing with an ACPR investigation over the anti-money laundering and countering the financing of terrorism (AML/CFT) system.
Read Story

How to prepare for an interview by AMF investigators?

Reacting to a summons to an interview within the course of an AMF investigation
Read Story

How to best handle the opening of an AMF inspection?

Reacting to requests made in the context of an inspection
Read Story
Accolades Navacelle
NAVACELLE recognized once again in 2023 in
Litigation & Arbitration

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