Herbert Smith Freehills LLP

Financial Services Regulatory

Partner

Chris is a contentious regulatory specialist, acting for financial institutions and listed corporates on internal and regulatory enforcement investigations, with a particular specialism in market misconduct, ESG issues and cross-border investigations involving European and US regulators. He has acted on some of the most high profile FCA/PRA Enforcement investigations in the market and has represented clients before the Regulatory Decisions Committee and Upper Tribunal.

Chris also supports clients in complex interactions with the regulators, section 166 reviews, and compliance risk, particular with respect to culture, governance and conduct risk. He has also worked with clients appearing before Parliamentary Select Committees.

Chris is dual qualified in England and Wales, and New York, and has spent over three years on secondment at various investment banks, and spent two years on secondment to HSF New York where he acted for firms under investigation by the SEC and DOJ.