Fieldfisher

Financial Regulation and Litigation

Partner

Duncan's experience is in both contentious and non-contentious financial services work, including disputes, regulatory enforcement, disciplinary action and internal investigations on the contentious side; and on the non-contentious side, perimeter guidance, conduct of business, systems and controls and compliance reviews. He has a particular focus on money laundering and market abuse.

Regulatory work covers clients including broker/dealers, banks, corporate finance providers, financial advisers, individuals and a regulated investment exchange on matters including: Conduct of Business, Market Abuse/disclosure of price sensitive information; systems and controls breaches; judicial review of disciplinary action; personal account dealing and conflicts of interest.

Duncan defends clients under investigation by the FCA, LME and SFO. Coming from a litigation background enables me to consider the wider picture and consequences of any regulatory breach and to deploy evidence gathering skills when investigating regulatory breaches. I help clients who may be facing a VREQ.

Litigation work has included allegations of breach of fiduciary duty against a Cayman Fund director; the restructuring of a UAE Sukuk, numerous cases on calculating ISDA early termination amounts, and the leading case on the meaning of the FCA's Client Money rules (which reached the Supreme Court). Duncan frequently acts for transaction parties in securitisations.