Joseph specialises in investigations, litigation and regulatory matters for financial institutions. He represents both firms and individuals on a wide range of matters and has recently returned from a six month secondment in the Internal Investigations team of a global investment bank.
Joseph’s experience includes conducting an internal investigation into a public company regarding breaches of the Listing Rules, advising on an FCA investigation into an individual regarding control of information procedures at a major financial institution, and conducting an internal investigation into a financial institution following allegations by a whistleblower. He has also conducted internal, global regulatory and antitrust investigations in various jurisdictions regarding a global investment bank’s FX sales and trading business.
Representative Experience
- Conducting internal, global regulatory and antitrust investigations in various jurisdictions regarding a global investment bank’s FX sales and trading business.
- Advising a large global financial institution on litigation following the discovery of fraudulent activity uncovered during an internal investigation previously conducted for the same client.
- Advising on a number of FCA investigations, including into a large financial institution’s market abuse surveillance systems and controls.
- Advising on FCA and PRA enforcement investigations into individuals.
- Conducting several internal investigations for financial institutions.