Nikunj Kiri

Financial regulation

Nik is a partner in the Financial Regulation Group in London.  He has extensive experience of advising banks, broker-dealers, insurers, asset managers, wealth management firms and listed companies on regulatory and compliance matters, with a particular focus on contentious regulatory and compliance risk management issues. 

Nik’s contentious regulatory experience includes conducting internal investigations and reviews following the discovery of suspected compliance failures; assisting clients in managing section 166 skilled persons’ reviews; advising clients in relation to managing communications with regulators; representing clients in FSA/FCA investigations and enforcement proceedings (including representing clients before the Regulatory Decisions Committee, in the Upper Tribunal and in the higher courts); advising clients in relation to the development and implementation of past business reviews and redress/remediation programmes; and assisting clients in managing civil litigation risks arising out of regulatory failings.

Nik also regularly advises clients on compliance risk management issues, including advice on the practical implications of regulation for their business practices and governance arrangements, and strategies for mitigating and managing regulatory and conduct risks.  Nik’s work in this area covers a diverse range of topics, from senior management responsibility, governance and risk management frameworks to conflicts of interest, insider dealing, market abuse, client money, fair treatment of customers, complaint handling and other conduct of business issues. Nik also regularly advises listed companies, corporate brokers and sponsors in relation to the disclosure and control of inside information, the LR8 sponsor regime and other Listing Rule/DTR compliance matters.

Gonville & Caius College, University of Cambridge, BA Hons (Law), 1997-2000; Nottingham Law School, Legal Practice Court (2000-01).