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Recent work includes:

  • acting for Lloyds TSB in proceedings involving the OFT and seven other banks in relation to overdraft  charges
  • acting for Equitable Life Assurance Society in connection with complaints from policyholders alleging  mis-selling and general financial mis-management, advising in connection with the Reports by Lord  Penrose, the Parliamentary Ombudsman and European Parliament, establishing mis-selling reviews  and liaison with FSA and FOS
  • investigating the regulatory obligations attaching to dealings in a London listed off-shore trust, including  as to disclosure of share dealings, conflicts of interest and listing rules in relation to split capital share  dealings and investment fund management generally
  • detailed consideration of compliance with regulatory standards and industry performance relating to a  large pensions mis-selling review
  • advising on a number of regulatory compliance cases concerning the obligations of directors and other  officers as authorised persons to ensure the prudent conduct of business.  These have often included  compliance with the demands of regulators in different jurisdictions on the same issue
  • acting in a number of separate cases for various investment banks and traders in respect of FSA and  overseas regulatory investigations into alleged insider dealing, market abuse and breach of FSA  principles, assisting in internal fact finding reviews and advising
  • advising a substantial IFA in relation to enforcement proceedings concerning its advertisements and its  internal controls
  • acting for a European Private Bank in relation to an FSA investigation in its London branch into the  adequacy of its anti-fraud systems and controls following  the discovery of an internal employee fraud
  • acting for a global fund management and investment company in relation to the alleged mis-sale of  complex investment products in a number of jurisdictions including UK and Hong Kong
  • acting for a global fund manager in connection with an investigation by the FSA into insider dealing,  market abuse and systems and controls breaches
  • advising a UK listed company in respect of alleged breaches of the Listing Rules and possible criminal  offences under FSMA 2000
  • advising a global insurer on numerous matters following on from their FSA fine in relation to finite  reinsurance abuses.