Expertise

Regulatory Disputes

Coat Haut de Sigy de Roux represents clients in disputes and disciplinary procedures before regulators on bank financial and stock market affairs.

Our lawyers represent our clients in all stages of investigations including document-based and on-the-spot checks, report notification and response to observations, and hearings before the Sanctions Committee.

These regulators include the Financial Markets Authority (AMF), the Bank and Insurance Regulator (ACPR), the National Sanctions Committee (CNS), and the Information and Control Service for Financial Circuits (SICCFIN) in Monaco.

Linked References

01

Defense of a casino before the CNS for breaches of anti-money laundering and counter-terrorist financing obligations (AML/CFT).

02

Defense of a Monaco-based bank before the SICCFIN with regard to grievances with the anti-money laundering and counter-terrorist financing system (AML/CFT).

03

Defense before the Autorité des Marchés Financiers (AMF, Financial Markets Regulator) of a director and shareholder of a listed company for failing to provide accurate and truthful information to the public, improper use and communication of privileged information, and failure to report certain transactions.

04

Defense of a bank for breach of internal control obligations (permanent control, periodic control) and organization of accounts before the Autorité de Contrôle Prudentiel et de Résolution (ACPR, Prudential Supervision and Resolution Authority).

05

Defense of a bank before the Banking Commission (now ACPR) concerning breach of anti-money laundering and counter-terrorist financing controls, as well as continuous transaction monitoring and data transmission obligations (QLB, anti-money laundering questionnaire).

06

Defense of a bank questioned with regards to information supplied to the public during the subprime crisis.