Martyn advises financial institutions on regulatory matters. Prior to returning to private practice in 2004 he spent over nine years working as a senior lawyer at the UK Financial Services Authority, latterly as Head of Department in the Enforcement Division. He has extensive experience advising investment banks, retail banks, insurers, asset managers and listed companies on regulatory compliance problems. He has advised on “crisis management” on discovery of major compliance failures, conducted numerous internal investigations and represented clients in regulatory investigations, enforcement actions and related civil litigation across the financial services sector. His client work has included some of the highest profile cases brought by the regulators over the past decade and has involved him regularly representing clients before regulators, tribunals and the higher courts (including applications for judicial review of regulators). He has extensive experience of managing multi-jurisdictional regulatory issues and investigations touching Europe, the US and Asia-Pacific. Martyn also regularly advises clients on compliance risk management issues. His areas of particular interest and experience include insider dealing and market manipulation, unauthorised trading incidents, corporate disclosure issues, governance and risk control in financial institutions, senior management responsibilities, management of conflicts of interest, suitability of financial products and portfolio management, financial promotions, fair treatment of customers and other conduct of business standards in respect of investment, banking and insurance products. Martyn’s recent clients have included UBS, Bank of America Merrill Lynch, Goldman Sachs, Lloyds Banking Group, RBS, Santander, Bradford & Bingley, Zurich, Prudential, Capita Financial and a number of asset management firms. Recent significant client matters on which he worked have included advising and representing UBS in relation to the Adoboli US$2.3billion unauthorised trading incident, representing UBS in the FSA’s Upper Tribunal proceedings against senior manager John Pottage and acting for the applicant in the judicial review of the FSA in R v FSA on the application of C. He has had a significant role advising clients on most of the major regulatory investigations and inquiries resulting from the banking crisis.
England - London • Risk advisory
Linklaters LLP
Acting on behalf of clients in sectors including technology, energy, banking, and extractives, Linklaters LLP’s business crime team provides ‘high quality advice’ on the whole spectrum of financial crime, with a particular focus on cross-border criminal and regulatory investigations. The practice has notable expertise in sanctions work, routinely representing corporations in investigations by OFSI, along with challenging fines imposed by the authority. The department has vast experience of dealing with domestic agencies, such as the SFO and FCA, with the global head of dispute resolution, Alison Wilson, consistently advising financial institutions during major enforcement investigations into AML and financial crises. Satindar Dogra focuses on compliance relating to bribery and corruption, and Alison Saunders concentrates on prosecutions by criminal agencies. Ben Packer handles financial crime investigations, and senior criminal defence lawyer Elly Proudlock is also noted.
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Testimonials
Collated independently by Legal 500 research team.
‘A commercially focused team’.
‘Ellie Proudlock is an excellent adviser’.
‘The team is able to advise on complex issues in time-sensitive situations covering an array of jurisdictions (EU, UK and US) that pertain to the issue. The team have taken their time to understand our needs and advise accordingly.’
‘Alison Saunders is our go to partner on financial crime related matters and is always able to make herself available at short notice. Sean Solomon similarly is always able to advise when required on the US aspects of an issue. This has been important with the recent glut of Sanctions that have been applied across multiple jurisdictions. The advice is timely, concise and to the point.’
‘Excellent team, builds long-term relationships and always available with high-quality advice.’
‘Satindar Dogra, Elly Proudlock and Sean Solomon are exceptional - very pragmatic, highly commercial and implicitly trusted to deliver critical advice when it really matters.’
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Alison Wilson