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.