Minos's experience include:
Market abuse and financial misconduct
- Advised the senior management of a listed corporation in the technology sector in successfully defending insider dealing proceedings instigated by a financial regulator at a tribunal.
- Advised individuals in FCA market abuse and financial misconduct investigations, including the senior management of a listed corporation and an individual in the financial sector.
- Advised listed corporations on potential insider dealing issues and remediation.
- Advised a listed corporation on conducting a whistleblowing investigation into potential market misconduct.
- Advised high-net-worth individuals and listed company directors in investigations brought by a financial regulator in respect of alleged market misconduct and disclosure of misleading information in relation to listed shares in various cases.
- Represented licensed clients in regulatory investigations brought by the FCA relating to fit and proper conduct in financial services.
Financial crime and AML
- Advised financial institutions and regulated firms on various issues and internal investigations in relation to their regulatory systems and controls, including AML controls and associated regulatory enforcement risks.
- Assisting international civil fraud, UK criminal fraud, and financial crime investigations including relevant court applications on behalf of a fund client in the UK and on behalf of a liquidator in Hong Kong.
- Advised on the financial crime and bribery policies and procedures of corporations in various industry sectors in corporate group system reviews and remediation processes, corporate mergers and acquisitions, and private equity investment transactions in the UK.
Listing rules investigations
- Represented the senior management of a Fortune 500 corporation in the telecommunications sector in handling regulatory investigations in relation to listing regulations.
- Advised directors of listed corporations in the financial services, technology, and energies sectors on issues in relation to potential breach of listing regulations and directors' duties in various cases.
International sanctions
- Advised a UK-listed corporation on its sanctions compliance program and sanctions risk assessment.
- Advised global brands and enterprises on sanctions-protection issues, including on the implementation of industry-specific sanctions contractual protections and assessment of potential sanctions risks from various jurisdictions.
- Advised on sanctions-related risks in corporate acquisitions, buy-side equity investments and on post-completion sanctions remediation strategies.
