I am a founding member of our financial services group and head of its regulatory team. My broad investigations experience and practical knowledge of the financial services industry is the result of nearly 30 years' focus on assignments for financial services regulators and regulated businesses, both in the UK and overseas.
My clients include the regulators and some of the UK's largest financial services groups and institutions. I specialise in governance and the practical implications of regulations for financial institutions. I am regularly called upon to provide expert witness testimony in High Court and Tribunal proceedings.
My expertise covers:
- A broad spectrum of assignments for regulators and regulated firms including over 60 Skilled Person appointments focusing on governance, board effectiveness, control function effectiveness, past business reviews, SYSC reviews, remedial exercises and business consultancy
- Assisting a wide range of businesses to prepare and apply for FCA and PRA authorisation
- Litigation support and expert witness work in the financial services sector including professional negligence, breach of warranty, breach of contract, statutory FSMA breach and FCA Enforcement.
- Routine compliance monitoring, special investigations and consultancy assignments on behalf of regulated businesses, the Regulators and offshore regulators.
- Various investment fraud enquiries including theft, deception, forgery and money laundering, on behalf of the police and other prosecution authorities.
In addition I served for almost 20 years on the Quality Assurance Committee (and formerly the Investment Business Authorisation Committee) of the Chartered Accountants Regulatory Board in Ireland.
When work and family commitments permit, I enjoy sailing competitively, a bit of cruising and as much off-piste skiing as I can fit in.
- Fellow of the Institute of Chartered Accountants in England and Wales
- Member of the Financial Markets Tribunal for the Dubai Financial Services Authority
- Financial Planning Certificate and member of the Chartered Institute for Securities & Investment