Charlie is an experienced solicitor whose practice focuses on regulatory and internal investigations, financial services litigation, professional negligence disputes and regulatory compliance.
Charlie previously worked within the Enforcement and Litigation Team at the Bank of England on a number of significant PRA investigations and policy. In private practice, he has advised regulated firms and individuals and has also worked within the litigation and regulatory teams of several global banks.
Charlie’s practice frequently requires him to advise individuals who are the subject of regulatory investigations. He also works closely with regulated firms’ senior management, General Counsel, in-house legal teams and HR directors as well as compliance and press teams.
Areas of expertise:
- Advising the subject of regulatory investigations and disciplinary proceedings throughout the process. He has previously advised in relation to investigations by:
- the Financial Conduct Authority (FCA);
- the Prudential Regulation Authority (PRA);
- Lloyd’s of London;
- Solicitors Regulation Authority (SRA) and subsequent proceedings before the Solicitors Disciplinary Tribunal (SDT);
- Bar Standards Board (BSB);
- Chartered Institute of Legal Executives (CiLEX);
- Institute of Chartered Accountants in England and Wales (ICAEW);
- Chartered Financial Analyst Institute (CFA Institute);
- The Intellectual Property Regulation Board (IPReg);
- The Football Association (FA).
- Advising regulated organisations and individuals on compliance with requirements including in relation to conduct, notification, remuneration and outsourcing.
- Advising on a broad range of financial services disputes including in relation to breach of mandate, product mis selling, breach of regulatory requirements, debanking and authorised push payment fraud (APP fraud).
- Advising on professional negligence claims including in relation to various professionals including solicitors, valuers, brokers, auditors and accountants.