Sam Clyndes | Fieldfisher
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I have particular experience with investigations, enforcement action and supervisory interventions by financial regulators against firms and individuals. Prior to joining Fieldfisher, I was a technical specialist and case lead in the FCA's Enforcement Division, following six years at the independent bar.

I advise on financial regulatory legislation, rules and guidance (for example in relation to the perimeter; obligations under the FCA's handbook and AML requirements). I also advise on related matters such as compliance and the regulatory aspects of commercial arrangements/transactions.

My experience has included:

  • multiple linked non-financial misconduct prohibition cases brought by a regulator against various individuals;
  • successfully representing a regulated firm in relation to a regulator's attempts to secure an asset-freezing requirement under FSMA;
  • multi-jurisdictional litigation involving firms and products subject to UK financial services regulation; and
  • leading a multi-jurisdictional AML policy and procedures review for a bank and its global subsidiaries.

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