Charles acts for a variety of banks and financial institutions, particularly with regard to contentious regulatory matters. He has advised clients in relation to FCA enforcement investigations, redress schemes and other regulatory projects.
Charles also provides advice to clients on their regulatory obligations, including any necessary notifications to the regulator or market. He has worked on a number of claims brought against certain banks and has also assisted individuals in relation to their potential claims against a financial institution.
Charles has worked on non-contentious regulatory projects while on secondment at a well-known private bank. He has also advised a major international bank regarding an internal investigation into potential market abuse.
Charles' recent experience includes advising:
- Lloyds Banking Group and its former directors in a shareholder action (under a group litigation order) arising from the acquisition of HBOS at the height of the financial crisis
- a financial institution in relation to its regulatory obligations and potential options open to the FCA, with a view to avoiding enforcement or further action from the FCA
- a major global bank in relation to its regulatory notification obligations and approach to an associated redress scheme
- individuals on their options in relation to certain failed investments
- Capita Financial Managers in relation to the FCA investigation into the Connaught Fund