Rosenblatt Law
Regulatory Risk Consulting and Investigations
12 
13 
Investigations, enforcement and remediation
•	
	Supporting a European bank in responding to a US Department of Justice  
	
	subpoena concerning alleged sanctions and anti money laundering
	
	failings, coordinating the regulatory, investigative and legal response 	
	
	
	across jurisdictions.
•	
	Conducting complex investigations into fraud, corruption, embezzlement, 	
	
	asset tracing, suspected balance-sheet manipulation and control failures.
•	
	Undertaking multiple skilled person reviews, monitorships and  
	
	regulatory investigations for authorities across several jurisdictions, with 	 	
	
	a focus on governance and personal accountability, financial crime  
	
	control effectiveness, conduct and customer outcomes and  
	
	operational resilience.
Market entry, transactions and regulatory change
•	
	Supporting the negotiation of a high-profile banking licence application,
	
	including the development of regulatory strategy, business model and 	 	
	
	supervisory engagement required to establish the new bank.
•	
	Leading an large-scale risk operations transformation across multiple 	
	
	
	global businesses, strengthening governance, risk ownership and control 	
	
	arrangements and culminating in an attestation to the FCA.
•	
	Designing and implementing conduct and Consumer Duty regulatory 	
	
	
	readiness and transformation programmes for two international banks, 	 	
	
	translating regulatory requirements into practical changes to governance, 	
	
	processes and controls.
•	
	Developing bank-wide financial crime effectiveness frameworks for  
	
	international financial institutions.
Supervisory and government advisory
•	
	Conducting a high-profile thematic review of the entire banking sector on 
	
	behalf of a central bank, assessing the effectiveness of the institutions’ 	 	
	
	financial crime frameworks and advising on the resulting supervisory and 	
	
	industry response.
•	
	Supporting governments through FATF evaluations, greylist remediation 	 	
	
	and the reform of national anti money laundering and supervisory  
	
	frameworks.
•	
	Advising regulators and market participants on cryptoasset regulation, 	 	
	
	stablecoins, tokenisation, custody and on-chain compliance.
Disputes and expert evidence
•	
	Providing expert evidence and regulatory analysis in complex disputes  
	
	involving fraud, financial crime, governance and the operation of  
	
	regulated businesses across the financial services, gaming and gambling 	
	
	and cryptoasset sectors.
Regulatory Risk Consulting and Investigations
13 
Rosenblatt Law
Selected 
experience 

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