Ian advises banks, insurers and other financial institutions on a range of contentious regulatory matters and complex disputes, with a focus on regulatory enforcement matters. His experience spans a variety of matters from initial breach reporting issues, through to high-profile investigations and High Court litigation.
Ian also gained valuable in-house experience during his secondments to the litigation teams of Credit Suisse and UBS Wealth Management, where he assisted with a wide variety of disputes, regulatory investigations and high value complaints.
Although he advises on all aspects of contentious regulatory matters, Ian has particular specialisms in relation to FCA/PRA skilled persons’ reviews, internal investigations, market abuse and issues arising under the senior managers regime. Ian also has extensive experience advising on complex or high value FOS complaints and consumer redress exercises, including assisting with large portfolios of cases and back-book reviews.
Ian’s litigation experience includes advising on claims under section 138D FSMA and unfair relationship claims under the Consumer Credit Act. He has also advised on large, multi-party group litigation claims, including one of the largest financial services claims made in the High Court.
He can also assist in relation to pre-contentious advice, providing guidance on issues that will, or are likely to become, contentious. This includes advising on litigation and investigation risk management / reduction strategies and earlier engagement with regulators.
Ian's experience includes advising:
- Capita Financial Managers on the FCA’s investigation into the Connaught Income Fund
- the wealth management division of a large investment bank on various High Court claims relating to the alleged mis-selling of film partnerships investments
- a large retail bank in relation to an investigation concerning potential market abuse / insider dealing in sovereign bonds
- a large retail bank on an FCA skilled person's review of CASS compliance
- a challenger bank on an independent investigation into Senior Manager conduct issues