Chris is a litigation partner specialising in regulatory investigations and enforcement. He has experience across a broad range of financial markets gained both as a partner and as an in-house lawyer. His former roles include Head of Regulatory for Lloyds Banking Group, General Counsel for a global inter-dealer broker and a senior lawyer within the FSA's Enforcement division. Chris was also a member of the FSA's Practitioner Panels for a number of years.
In recent years Chris has been involved in a number of the most significant regulatory cases in both the retail (PPI and CPP) and wholesale markets (e.g. LIBOR, FX). Chris also has experience of acting for individuals in relation to FCA enforcement and criminal prosecutions.
Chris's experience includes:
- Regulatory investigations
- Section 166 reviews
- Enforcement proceedings
- Market abuse and insider dealing
- Systems and controls cases
- Representation of individuals
- Non-routine approved person applications
- Variations of permission
- Financial promotion
- Disclosure & transparency
- Exchange trading issues
"He got personally involved in the detail and he understood the client's perspective. He was polite but tenacious in his dealing with the regulator."