Financial Services in 40 Webinar: Handling non-financial misconduct in practice

Angela is a financial services regulation expert with a main focus on investigations and enforcement defence but also with an advisory practice.

Angela has led many major regulatory investigation and defence projects, including coordinating cross-border multi-jurisdictional matters, involving the PRA, FCA, SFO, DOJ, SEC, NY DFS and other regulators in Europe and around the globe. These cases have covered a wide range of issues but include complex market manipulation, investment and trading errors, transaction reporting, fraud and allegations of bribery and corruption. Angela has also assisted many clients with internal investigations and dialogue with regulators, where the facts found have enabled clients to avoid regulatory enforcement action. Most recently this has included issues raised by whistleblowers and culture/conduct issues.

David specialises in all areas of employment law, with a particular interest in Investigations and Tribunal Litigation.

He has almost 20 years’ experience advising clients including investment banks, insurers, professional services firms, private equity firms, asset managers, and corporates in the property retail and hotel sectors.

David acted successfully in the important employment cases of: Dr Beatt v Croydon Health Services NHS Trust, where the Court of Appeal gave clarification on the test for a protected disclosure in whistleblowing cases; and in the EAT in Ferguson v Astrea Asset Management Ltd, where the EAT confirmed that poison pill provisions should not transfer under TUPE.