Overview
Oli has extensive experience advising retail, wholesale, private and investment banks, asset managers, listed issuers and investment advisers across a broad range of contentious and non-contentious financial services regulatory matters.
Oli is a specialist in regulatory enforcement and internal investigations matters. This includes UK FCA and PRA, and internal, investigations covering matters relating to financial crime, retail issues (inc. pensions), systems and controls, governance, non-financial misconduct and notification obligations. Oli also has significant experience advising clients on financial services supervisory issues, skilled person reviews and FOS complaints handling issues.
Oli also advises clients on other financial services-related non-contentious matters such as governance/SMCR, the consumer duty, market abuse, and regulatory change projects. Oli in particular has deep experience advising clients on their obligations and arrangements under the SMCR.
Oli’s experience across both contentious and non-contentious financial services-related matters means that he has a deep understanding of the regulatory framework and is able to provide commercial and strategic advice in either context.
Oli also has wider pre-investigation and investigations experience, having been instructed on matters relating to Ofgem, the FRC and the HSE, and has worked on pre-litigation, High Court litigation and corporate crime matters.
Work highlights
Highlights include:
- Advising a European investment bank and UK retail bank in relation to FCA investigations into financial crime systems and controls issues.
- Advising a major investment firm in relation to an FCA investigation, skilled person review and FOS complaints handling process.
- Advising a global investment bank and European investment bank in relation to internal investigations relating to financial crime systems and controls compliance and sanctions compliance issues.
- Advising a European retail bank on an internal investigation into potential misconduct by a senior individual, including advising the client in relation to the management of communications with the regulator.
- Advising an insurer in relation to a PRA investigation into governance issues.
- Advising a multinational investment bank and financial services corporation in relation to a full review of their UK SMCR arrangements.
Admissions