Selected highlights of Ross’ career experience includes acting for:
- an investment bank on an FCA and PRA joint investigation into a trading incident
- an investment bank in relation to a criminal trial regarding market abuse
- a listed plc on market disclosures and compliance with MAR
- a UK retail bank on contagion risk across all financial products related to a Supreme Court judgment
- numerous individuals seeking approval as Senior Managers for a range of functions
- a trading house in advocacy to a market exchange operator on the impact of Russian sanctions
- a crypto exchange on its contested application to the FCA for registration under the MLRs
- an English subsidiary of a US headquartered bank on a comprehensive governance review
- an investment bank on their global preparedness for the UK failure to prevent fraud offence
- an investment bank to help coordinate its internal process to explore its potential exposure to tax evasion and responding to regulatory enquiries across multiple jurisdictions
- multiple retail banks on their implementation of the FCA's Consumer Duty rules
- a leading insurer in relation to an FCA competition investigation (exercising dawn raid powers)
- an investment bank on an FCA investigation regarding MAR compliance
- a high net worth individual in relation to share dealing
- a listed plc in preparation for an HMRC visit
- a financial institution further to a whistleblower’s allegations of non-financial misconduct by a Senior Manager
- a UK retail bank further to a whistleblower’s allegation of bribery involving a senior executive
- an MLRO as the key witness as part of an FCA investigation into AML failures
