Financial Services
- Advising several banks and lending groups in relation to Annex 1 lending registration under the MLRs.
- Advising a financial services group on threatened VDIR and VREQ by the FCA in relation to financial crime compliance.
- Advising a global bank on a whistleblowing investigation into customer redress and application of individual accountability.
- Advising a wealth manager on a whistleblowing investigation into non-financial misconduct by senior management.
- Advising multiple banks and lenders in relation to motor finance commission redress and related risk and litigation issues.
- Advising an investment bank in a whistleblowing investigation into allegations of SMCR breaches and operational risk and governance failings.
- Advising an insurance intermediary in regulatory engagement concerning policy design and distribution and the regulatory perimeter.
- Advising a bank on a solvent wind down and related engagement with the PRA.
- Preparing the CEO and Chair of a systemic infrastructure firm for approval interviews with the Bank of England.
- Advising several PRA regulated financial institutions and listed corporates on whistleblowing investigations relating to regulatory breaches and non-financial misconduct.
- Advising an investment platform in an internal investigation into breaches of the Money Laundering Regulations, POCA and the FCA's systems and controls requirements in relation to financial crime.
- Advising several banks in respect of negotiation of, and legal issues arising from, participation in government lending schemes, including BBLS.
- Advising an insurance intermediary on an FCA enforcement and settlement in relation to sales practices.
- Advising an asset manager in respect of FCA investigations into sensitive non-financial misconduct and SMCR and HR controls.
- Advising a payment firm in respect of an enforcement investigation by the Payment Systems Regulator.
- Advising several banks in customer redress exercises in respect of financial products, bereavement processes and mortgages.
- Advising a global investment bank on an FCA investigation into corporate banking AML systems and controls.*
- Advising a major UK retail bank in respect of regulatory and complaints handling issues, and a past business review, into its sales of fixed rate loans to businesses.*
- Advising a European investment bank on an FCA investigation into the sale and distribution of institutional loan notes.*
- Advising PricewaterhouseCoopers LLP and one of its partners in the successful defence of an FRC investigation into CASS reports to the FCA in respect of Barclays Bank plc.*
- Advising a global wealth management bank on regulatory issues, litigation and FOS complaints handling and related litigation arising from sales of tax efficient film partnership investments.*
- Referral to the Upper Tribunal by an Insurer in relation to a PRA decision.*
Sarah also speaks frequently at industry conferences on a range of topics including whistleblowing, SMCR, FCA enforcement trends, and the CASS rules.
Work relating to market conduct and public companies
- Advising a director of a listed company in relation to an FCA enforcement investigation into the public statements of a listed global energy company.
- Advising a Chairman of a listed group in an investigation in respect of allegations of insider dealing.
- Advising individuals in respect of preliminary enquiries by the FCA regarding market conduct.
- Conducting independent whistleblowing investigations for a FTSE 100 global company in respect of ethical and non-financial misconduct issues.
- Advising an AIM listed company into FCA enquiries arising out of an accounting fraud.
*experience gained prior to joining Addleshaw Goddard
