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Bibliothèque encyclopédies

 
REGULATORY LITIGATION​

Before which regulators?

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  • AMF (Autorité des marchés financiers – French financial markets regulator)

  • ACPR (Autorité de contrôle prudentiel et de résolution – French banking and insurance regulator)

  • ESMA (European Securities and Markets Authority)

  • H2A (Haute autorité de l'audit – French auditors regulator)

  • AFA (Agence française anticorruption – French anti-corruption regulator)

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For which procedures?

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  • Investigations

  • Inspections

  • Enforcement proceedings

  • Appeals against AMF Enforcement Committee decisions to the Paris Court of Appeal or the Conseil d'Etat (French administrative Supreme Court)

  • Mediation before the AMF Ombudsman

  • Internal investigations

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On which issues?

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  • Market abuse 

    • Insider dealing

    • Price manipulation

    • Dissemination of false information

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  • Financial communication

    • Ongoing and periodic information

    • Management of insider information (obligation to publish, insider list)

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  • Reporting obligations

    • Crossing thresholds

    • Directors' transactions

    • Short selling

    • Suspicious transaction reports

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  • Professional obligations

    • Investment / payment / crowdfunding / digital asset services

    • Asset management

    • Governance

    • Rules of good conduct​

    • ESG

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  • Anti-money laundering and combating the financing of terrorism (AML-CFT)

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  • ​ Right to an account

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  • Compliance / internal control

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  • Whistleblowing

In concrete terms:

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  • You receive a request for information from the regulator.

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​I assist you in preparing the response to be provided with precision, diligence and care in both content and form. 

 

  • You receive a summons to an interview by the investigators (or inspectors) and/or the rapporteur of the Enforcement Committee.

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​I assist you in preparing for the interview, particularly with regard to the questions likely to be asked and the behaviour to adopt. 

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During the interview, I ensure that the rights of the defence are respected and that your words are accurately transcribed in the minutes.

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  • You receive a detailed letter ("lettre circonstanciée") (or an inspection report) and/or a statement of objections ("notification de griefs").

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​I analyse the documents in the file and draft our observations in response.

 

I assist you throughout the investigation phase up to the hearing before the Enforcement Committee.

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  • You receive a proposal for settlement ("composition administrative").

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​I analyse the statement of objections and help you assess whether to accept the principle of a settlement with the regulator.

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I assist you in negotiating an agreement on the amount to be paid, your remediation commitments and the terms used in the setttlement agreement, which will be made public.

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I support you in developing and implementing the agreed remediation plan.

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  • In parallel with an investigation by the regulator, you wish to conduct an internal investigation.

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We jointly define the scope and methodology of the internal investigation. In particular, this involves drawing up a list of the alleged facts, the people to be interviewed, the documents to be collected and any precautionary measures.

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Once the framework has been defined, I carry out the internal investigation in complete independence, at the end of which I submit a report containing my conclusions as to the materiality of the alleged facts and my recommendations as to the actions to be taken.

AMF

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COURT LITIGATION​

Before which courts?

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  • Civil 

  • Commercial 

  • Criminal

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For which procedures?

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  • Pre-litigation

  • As claimant or defendant

  • First instance

  • Appeal proceedings 

  • Appeal to the Cour de cassation (French judicial Supreme Court) 

  • Judicial mediation

  • Internal investigations

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On which issues?

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  • Banking and financial litigation 

    • Bank loans, financing, securities and related guarantees

    • Capital market transactions, financial instruments, structured products

    • Provision of financial services

    • Investment / payment / crowdfunding / digital assets services

    • Advisory

    • Financial analysis, rating, publication of opinions and recommendations

    • ESG (greenwashing, sustainable finance)

    • Fraud

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  • Business litigation

    • Shareholder disputes

    • Post-acquisition disputes (asset and liability warranties)

    • Directors' liability

    • Shareholder activism (concerted action, threshold crossing)

    • Contractual or tort liability

    • Termination of business relations

    • Professional liability (statutory auditors)

    • ESG (duty of care)

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  • Financial criminal litigation

    • Banking, financial, stock market and tax offences (market abuse, LCB-FT, fraud, corruption)

    • Whistleblowing

In concrete terms:

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  • You receive a complaint or formal notice from a dissatisfied customer.

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​I help you put together a file containing all the information and documents you need to have a clear view of the situation and the issues involved.

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I analyse the merits of the arguments presented, from both a factual and legal point of view, and whether it is appropriate to reach a settlement.

 

I draft a detailed response.

 

If necessary, I assist you in negotiating a settlement agreement.

 

  • You receive a summons alleging your contractual or tort liability.

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I represent you before the relevant court throughout the proceedings, from the pre-trial stage to the pleadings and a judgment at first instance, and on appeal if necessary. 

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​I analyse the summons and the opposing documents. I define a strategy, both procedurally and substantively, based on your objectives and constraints.

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I draft our submissions in response and prepare the exhibits, case law and doctrine to support our arguments.

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I analyse the judgment rendered, and if necessary, I take action to enforce it or consider whether to lodge an appeal.

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  • You are wondering whether to take legal action against a co-contractor.

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I help you clarify the situation, the issues at stake, your options and their advantages and disadvantages.

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I prepare arguments in support of your claims.

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I contact the opposing party (or their counsel) to try to resolve the dispute amicably.

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If necessary, I have a summons served on the opposing party to appear before the relevant court.

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  • You have received an alert regarding facts that may constitute a criminal offence. You wish to conduct an internal investigation.

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We work together to define the scope and methodology of the internal investigation. In particular, this involves drawing up a list of the alleged facts, the people to be interviewed, the documents to be collected and any precautionary measures.

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Once the framework has been defined, I carry out the internal investigation in complete independence, at the end of which I submit a report containing my conclusions as to the materiality of the alleged facts and my recommendations as to the actions to be taken.

OXF-FIN_Image.jpg

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LEGAL ADVICE

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In which formats?

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  • Legal opinion 

  • Audit / risk assessment with remediation plan

  • Internal investigation

  • Legal watch

  • Training

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In which frameworks?

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  • Ad hoc legal advice

  • On-site mission 

    • Crisis management

    • Project management

    • Temporary replacement

  • Legal subscription

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On which issues?

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  • Banking and financial law

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  • Market abuse â€‹

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  • Financial communication

    • Ongoing and periodic information

    • Management of insider information (obligation to publish, list of insiders)

​​

  • Reporting obligations

    • Crossing thresholds

    • Directors' transactions

    • Short selling

    • Suspicious transaction reports

​​

  • Professional obligations 

    • Investment / payment / crowdfunding / digital asset services

    • Asset management

    • Governance

    • Rules of good conduct​

    • ESG

​​

  • Anti-money laundering and combating the financing of terrorism (AML-CFT)

​​​

  • Compliance / internal control

​​

  • Whistleblowing

​

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In concrete terms:

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  • You are wondering about the impact of new regulations or case law on your business.

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​I help you to clarify the applicability of these regulations to your business, the obligations they impose, the measures to be put in place (internal procedures, operational processes, monitoring and reporting systems) and the practicalities of implementing them in a way that is consistent, appropriate and proportionate to your business and your workforce.

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I provide training for your teams to raise their awareness of these new issues.

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  • You are wondering whether your existing system complies with a particular regulation.

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I carry out a documentary and on-site audit of your system (internal procedures, operational processes, monitoring and reporting systems) and assess the risks of non-compliance.

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In consultation with you, I draw up a remediation plan that is efficient, consistent with the existing system, appropriate and proportionate to your business and your workforce. I help you put it into practice.

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  • You have doubts about a specific transaction, particularly in terms of its legality or the reporting obligations that may be triggered.

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​I provide you with my analysis of the situation, in fact and in law, and my recommendations on how to proceed.

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Where appropriate, I assist you in filing the necessary reports to the regulator.

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  • You want to be assisted in your dealings with the regulator.

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​I assist you in all your dealings and exchanges with the regulator to ensure maximum fluidity and peace of mind.

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  • You have received an alert about facts that may indicate a breach of legal or regulatory obligations. You wish to conduct an internal investigation.

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We jointly define the scope and methodology of the internal investigation. In particular, this involves drawing up a list of the alleged facts, the people to be interviewed, the documents to be collected and any precautionary measures.

​

Once the framework has been defined, I carry out the internal investigation in complete independence, at the end of which I submit a report containing my conclusions as to the materiality of the alleged facts and my recommendations as to the actions to be taken.

 

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