Chris is a contentious financial services regulatory specialist.
Chris acts for a number of banks and other financial institutions, primarily on contentious regulatory matters. He advises clients on internal investigations, FCA and PRA enforcement matters and on interactions with the FOS. His experience in contentious matters also informs his advice to clients on regulatory compliance particularly with respect to culture, governance and conduct risk.
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 specialises in issues facing wholesale banks, particularly in relation to market abuse. He has acted on some of the most high-profile contentious regulatory matters in the market, including in connection with LIBOR and FX investigations, Skilled Persons' Reviews and Parliamentary investigations.
He also specialises in matters relating to culture and governance, acting in the Salz Review of Barclays and the Kelly Review of the Co-operative Bank.
Chris is dual qualified in England & Wales and in New York. He spent two years on secondment to Herbert Smith Freehills' New York office where he acted on matters involving investigations by the SEC and DOJ.
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.
Experience & expertise
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