Regulatory investigations

Even the most diligent, compliant firms can find themselves – or one of their partners or employees - the target of a regulatory investigation.

An investigation into a suspected regulatory breach can have serious consequences for a firm or an individual in terms of financial impact, damage to a career or loss of reputation; equally, early action and the careful preparation of an appropriate response can mitigate damage and loss and protect – or even enhance – the reputation of a responsible and compliant firm.

We can help you to assess the potential impact of a regulatory investigation, address any significant issues identified and prepare a response which minimises the possibility of serious loss or damage to you or your firm.


We have recently engaged Laurence to undertake a series of training courses for our whole team, updating us on changes and developments in the Anti Money Laundering arena. Laurence has presented the courses in an engaging, interesting and informative style. His wealth of experience in this area has meant he has been able to provide real life experiences and examples which has really helped to bring the legislation alive and help our team apply the rules to real life and the client base of PEM. The feedback from the courses has been superb, with team members commenting they found it engrossing and as a firm we are delighted to have satisfied all our objectives for the training. We have engaged Laurence to undertake further training on a cyclical basis.


Kelly Bretherick
MLRO, PEM Chartered Accountants

Black Swan Events

By Laurence Howland | 17/08/2022 |

Juvenal, a Roman poet writing around the beginning of the 2nd Century AD, stated in one of his Satires that “a perfect wife is a rare bird in the land, and rather like a black swan”. Those of us tempted to credit Juvenal with egalitarian views of women, or at least with a genuine devotion to…