Adam is a senior associate in the firm’s Litigation and Corporate Risk department, specialising in advising financial institutions and their senior management on complex regulatory issues and related litigation. His work includes conducting internal investigations, representing clients in regulatory investigations by the FCA, PRA and other enforcement agencies (often cross-border), and defending enforcement proceedings.
Adam has experience of working for the regulator having spent over a year on secondment to the FCA’s Enforcement & Market Oversight Division. During his time at the FCA, Adam worked as an investigator on FCA and PRA investigations into both firms and individuals.
Adam has particular experience of investigations relating to: AML and MLRO responsibilities; governance and management responsibilities; misleading or failure to notify regulators; whistleblowing; treating customers fairly; market abuse; market manipulation; compliance with the listing rules; data protection; exchange of commercially sensitive information; the client money rules; transaction reporting; control of inside information and conflicts of interest; capital requirements; and oversight of outsourcing arrangements and appointed representatives.
Adam frequently acts for firms in responding to Section 166 FSMA skilled person reviews, thematic reviews, regulator risk assessments and supervisory visits. He also regularly advises clients on compliance with the FCA Handbook and PRA Rulebook, the Senior Managers and Certification Regime, compliance policy reviews, regulatory notification obligations and complaints handling issues.
Adam has undertaken secondments to both a leading asset management firm and a global insurance company. He is a member of the London Solicitors Litigation Association, the Financial Services Lawyers Association and regularly contributes to industry publications on legal and regulatory issues.
Adamis a contributing author to the Financial Regulation: Emerging Themes in 2019 publication - an extensive collection of articles around the themes of investigations. financial crime, digital, markets, supervision and governance.