Phil specialises in advising individual and corporate clients on criminal and regulatory investigations and prosecutions.  His practice includes all areas of financial and business crime, as well as contentious regulatory matters, internal investigations and other criminal matters.

Phil frequently advises clients in respect of white collar criminal and regulatory investigations and prosecutions.  His experience includes investigations by the Serious Fraud Office, Financial Conduct Authority, Prudential Regulation Authority, Crown Prosecution Service, HM Revenue & Customs and Competition and Markets Authority.  Phil has also advised on cross-border investigations involving the US Department of Justice, US Securities and Exchange Commission, and Federal Reserve Bank of New York.  His experience includes advising clients in relation to allegations of market abuse, insider dealing, money laundering, false accounting, fraud, bribery & corruption, and cartel/competition issues.

Phil has particular experience of representing clients in the financial services sector in relation to investigations by the FCA and PRA, including cases before the RDC, Upper Tribunal and Court of Appeal.  Phil also advises on contentious regulatory issues in other sectors, including matters involving the Financial Reporting Council, ICAEW, Gambling Commission and CFA Institute.

Phil also advises on a wide range of general crime matters, from the initial stages of investigation through to trial.

Recent work

Business and financial crime

  • Representing a company in respect of criminal allegations of fraud against a number of its employees.
  • Representing several individuals in respect of an SFO investigation into overseas bribery and corruption.
  • Advising a company in respect of its anti-money laundering procedures and reporting obligations.
  • Representing a potential defendant in respect of an SFO investigation into accounting issues.
  • Representing several individuals in relation to HMRC investigations following the “Panama Papers” and “Paradise Papers” leaks.

Financial services:

  • Representing the CEO of a major bank under investigation by the FCA, PRA and FRC.
  • Representing a senior banker under investigation by the FCA for alleged breaches of APER 1 (integrity).
  • Representing the CEO of a FTSE 250 company under investigation by the FCA for alleged market abuse.
  • Representing the CEO of a financial services firm under investigation by the FCA relating to misleading financial promotions.
  • Representing an individual under investigation by the FCA for insider dealing.
  • Representing several individuals in relation to contentious non-routine FCA approval applications.

Competition and cartels:

  • Representing an individual in respect of an investigation by the European Commission into alleged anti-competitive behaviour.
  • Representing an individual in respect of an investigation by the CMA into alleged price-fixing and market sharing.

Internal investigations

  • Conducting an internal investigation for a company in relation to allegations of misconduct by its staff.
  • Representing the CEO of a bank in relation to allegations concerning misuse of inside information.
  • Representing the CEO of a listed company in relation to allegations of fraud and false accounting.
  • Representing several bankers in relation to allegations of false accounting, breaches of risk limits, fraud, bribery, market manipulation, market abuse and other AML and compliance issues.

Regulatory

  • Representing an individual under investigation by the CFA Institute.
  • Advising a client in respect of a Gambling Commission investigation concerning AML and social responsibility issues.
  • Representing several individuals under investigation by the ICAEW and FRC relating to accounting and conduct issues.

 

Professional societies and memberships

  • Financial Services Lawyers Association (FSLA)
  • London Criminal Courts Solicitors’ Association (LCCSA)
  • Young Fraud Lawyers’ Association (YFLA)

 

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