College of Law

University of Hertfordshire

Partner at DWF

London, England, United Kingdom

Partner in the Regulatory, Compliance and Investigations Group

Partner

I represent financial institutions, corporates and their senior management in UK and international regulatory enforcement, criminal and internal corporate investigations. I am a former Enforcement lawyer with the FSA, the predecessor to the Financial Conduct Authority (FCA). I use my experience of regulatory investigations when advising boards and Approved Persons, in particular Compliance Officers, in their engagements with the FCA, PRA and Lloyd's of London with emphasis on: governance; internal investigations; financial crime controls; the sanctions regime; conduct risk; regulatory notifications; directors' duties and systematic failures. I have a particular interest in the regulation of insurers and intermediaries. I was seconded in house as the Head of Compliance for a Lloyd's Managing Agency, acting as the firm's point of contact with the Regulator and working closely with the CEO and iNEDs. I trained and practiced as a white collar defence lawyer. I have extensive experience representing corporates and executives in Police/SFO interviews under caution or compulsion, and before the courts in relation to allegations of: insider dealing, bribery, fraud, money laundering, sanction breaches, insider dealing, US securities fraud, US/UK extradition and personal indiscretions. My proactive defence approach to cases has resulted in numerous "no further actions". I also act for witnesses and whistle-blowers in regulatory and criminal investigations. I haved additional experience advising Chartered Accountants and Insolvency Practitioners in relation to professional disciplinary and risk management issues. I was seconded to the FRC to investigate the audit services provided to MG Rover. I regularly deliver directors training on: governance; financial crime controls; the FCA/PRA senior manager regime and the regulator's expectation of directors, simulated FCA enforcement/supervision and PACE interviews; how to manage dawn raids and internal investigations.

RPC- law firm

Delivering all day to day compliance, regulation and corporate governance advice and support to the buisness, in particular the CEO, iNEDs, CFO, Director of Underwriting, Active Underwriters and Head of Operations. First point of contact with the FSA and Lloyd's of London. Delivered corporate governance change programme.

Argo Managing Agency Limited

Secondee: Chief Legal Officer

Delivering all day to day compliance, regulation and corporate governance advice and support to the buisness, in particular the CEO, iNEDs, Director of Underwriting, Active Underwriters and Head of Operations. First point of contact with the FSA and Lloyd's of London. Delivered corporate governance change programme

Secondee - Compliance Officer

Senior Associate - Regulatory Group

Contentious and non-contentious financial regulation, including advising senior trader during an insider dealing/market abuse internal investigation. Regulatory defence of corporate and health care clients, in particular corporate manslaughter, health and safety, and food hygiene breaches.Seconded to the Financial Reporting Council, providing investigation and legal support to the Executive Counsel's investigation of audit and non-audit services provided by Deloitte to MG Rover. Internal secondment to Mills & Reeve LLP's healthcare regulatory enforcement group, providing investigation and legal support to the General Medical Council in cases before the Fitness to Practise Panel. Private prosecutions on behalf of Norwich City Council, for health and safety breaches, benefit fraud and food hygiene offences.

Mills & Reeve

Senior Solicitor - Regulatory Team

Contentious and non-contentious regulatory and business crime. Advising and representing the Federation Against Copyright Theft in private prosecutions for conspiracy to defraud. Civil fraud proceedings, in the High Court, on behalf of SKY. Private prosecutions on behalf of the Law Society. Representing the General Dental Council, before the GDC Health Committee.

Russell-Cooke

Solicitor - Professional Regulation Team

I was an Enforcement lawyer with the FSA, the predecessor to the Financial Conduct Authority (FCA), investigating market misconduct and systematic failures of banks' anti-money laundering controls, as well as appearing on behalf of the FSA before the Regulatory Decisions Committee and prosecuting for the FSA in the Magistrates' Courts. I was the case lawyer in the first published case of market abuse, the first overseas bank to receive a private warning for breaches of the Money Laundering Sourcebook, and the first High Court certification for non-compliance with a statutory request for information at interview.

Financial Services Authority

Lawyer - Enforcement Division

Training and qualified as a white collar defence solicitor. Representing private individuals and companies in criminal investigations (own client duty solicitor attendance at the police station) and proceedings undertaken by the Police (in particular fraud squads, National Crime Squad and MOD police), Serious Fraud Office, HMCE and HM Inland Revenue (now HMRC), DTI (now BIS), US prosecutors with related US/UK extradition proceedings - R (on the application Warren) v Secretary of State [2004] Admin. Ancillary civil, directors' disqualification, insolvency and judicial review proceedings. Agency advocacy before Central London County Court and High Court Masters.

Richard Burger