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Webinar: Current Issues in Contentious Financial Regulation - the FCA’s new interventionist supervisory style

31/10/2022

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Related topics: Banking and financeContentiousFunds and asset managementInsuranceSecurities and derivatives

Speakers

Simon Morris
Partner
CMS

Simon has been a partner in the firm’s Financial Markets team since 1988, having joined the firm in 1980 and qualified as a solicitor in 1982.

He advises a wide range of UK and overseas financial institutions on regulatory matters including in relation to market conduct, systems and controls, governance, and responding to regulatory concerns.

Simon has represented firms in over 500 regulatory and enforcement proceedings brought by the UK PRA and FCA, their predecessors and overseas regulators.

He has extensive experience in the establishment and operation of international financial centres and is a Commissioner of the Jersey Financial Services Commission and has been a Director of the Ras al Khaimah (UAE) International Corporate Centre.

Simon is a member of the City of London Law Society Regulatory Committee and author of Financial Services Regulation in Practice (Oxford UP 2016). He was named as the Best Regulatory Lawyer of 2008 at Complinet’s Fourth Annual Compliance Awards and was a finalist in the 2016 Legal Business Client Partner of the Year awards.

Elizabeth Bremner
Partner
CMS

Elisabeth is a Partner in the Financial Services Regulatory team at CMS. Her practice focuses on contentious matters dealing with all aspects of the investigation and enforcement process. She has more than 20 years’ experience representing clients, both firms and senior managers, in cases involving both UK and overseas regulators. She has significant experience in undertaking independent internal investigations involving insider dealing, market abuse and trader mis-marking in the investment banking and hedge fund sectors. Within the retail industry she has expertise in investigating fraud, sanctions breaches, mis-selling and complaints mishandling. She has also advised on conduct issues in the SME corporate banking sector. She has a particular interest in how the industry engages with vulnerable customers. In 2010-2011 she spent a year on secondment to a major bank where she managed the global retail internal investigations team spanning the UK, Western Europe, Africa and India. She has acted as a Skilled Person for the FCA on a significant appointment.

To register for this event, please click here.

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