Experience
- Work on complex regulatory investigations conducted by the Financial Conduct Authority (FCA) and by overseas regulators into wealth and asset managers in relation to contravention of regulatory requirements.
- Work on high profile market abuse and insider dealing cases including litigation / trial stages.
- Work on complex regulatory breaches related to financial benchmarks manipulation including LIBOR and EURIBOR, breaches of systems and controls and Listing Rules breaches.
- Assessing applications from firms or individuals against the FCA Handbook regulatory requirements and making excellent quality, timely regulatory decisions and judgements, based upon accurate consideration of all relevant factors and application of the Authorisations and Supervision risk tolerance.