Chris is a contentious financial services regulatory specialist and co-head of the London fintech practice.
Chris acts for regulated financial institutions, fintechs, listed companies, and audit/accounting firms, primarily on contentious regulatory matters. He advises clients on internal investigations, redress schemes and enforcement investigations by regulators like the FCA, PRA, FRC, ICAEW and others. His experience in contentious matters also informs his advice to clients on regulatory compliance particularly with respect to market abuse, culture, governance and conduct risk.
Chris has been involved in some of the highest profile regulatory enforcement actions in the market, from LIBOR/FX, to dual track civil/criminal investigations, to enforcement involving mass redress schemes and schemes of arrangements. Chris also acted on first of a kind enforcement cases involving exchanges and an audit firm. He has also acted on Skilled Persons' Reviews, Parliamentary investigations and independent reviews such as Salz (Barclays), Kelly (Co-op) and into TSB.
In addition to his regulatory work, and his particular specialism in acting for fintechs and auditors, Chris assists funds and other listed companies on ESG-related issues, including market inquiries and investigations into "greenwashing" and breaches of the UK Market Abuse Regulation and Listing Rules.
Chris has been on secondment to three international investment banks in both London and New York; this in-house experience has led him to understand better the needs of his clients in order to produce clear, focussed assistance and advice.
Chris is dual qualified in England & Wales and in New York. He spent two years on secondment to the firm's New York office where he acted on matters involving investigations by the SEC and DOJ.
Experience & capabilities
Selected matters
- a retail bank in connection with a IT systems failure, involving support on immediate crisis management and leading to multiple regulatory investigations including by the FCA and PRA
- listed companies and regulated firms in connection with FCA market inquiries in connection with potential greenwashing and other ESG and market abuse-related issues
- an investment bank in connection with whistleblowing allegations resulting in significant litigation and regulatory enforcement investigations (including by the FCA) in the UK and Europe
- professional services firms in connection with FCA and FRC investigations into audits of FCA/PRA regulated firms
- individuals in connection with senior manager approvals and Enforcement, including before the FCA's Regulatory Decisions Committee and the Upper Tribunal.
- Section 166 reviews, as Skilled Person and providing support for the firm under review. FCA/PRA investigations and internal investigations generally, including in relation to misselling, customer detriment and remediation, whistleblowing, investment research, AML systems and controls, regulatory reporting, client money and more
Sectors
Background
Chris read law at Downing College, Cambridge (2002-2005), and completed a Master of Laws degree at Columbia Law School (2011-2012). He qualified in England & Wales in 2009 and in New York in 2015.
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