Fieldfisher

Derivatives & Structured Finance

Senior Associate

Sam has particular experience with investigations, enforcement action and supervisory interventions by financial regulators against firms and individuals. Prior to joining Fieldfisher, he was a technical specialist and case lead in the FCA's Enforcement Division, following six years at the independent bar.

Sam advises on financial regulatory legislation, rules and guidance (for example in relation to the perimeter; obligations under the FCA's handbook and AML requirements). He also advises on related matters such as compliance and the regulatory aspects of commercial arrangements/transactions.

Sam's experience has included:

multiple linked non-financial misconduct prohibition cases brought by a regulator against various individuals; successfully representing a regulated firm in relation to a regulator's attempts to secure an asset-freezing requirement under FSMA; multi-jurisdictional litigation involving firms and products subject to UK financial services regulation; and leading a multi-jurisdictional AML policy and procedures review for a bank and its global subsidiaries.