Richard is a regulatory specialist with substantial experience advising corporates, regulated firms and Approved Persons, regulators, private individuals, professional bodies and local government across the spectrum of regulation. This includes financial regulation and compliance; enforcement proceedings; professional disciplinary defence for chartered accountants; business and serious crime, internal investigations; private prosecutions and military discipline.
Richard also has considerable experience working in-house and for the regulators; he was a former Financial Services Authority Enforcement lawyer undertaking investigations proceedings in relation to market abuse/insider dealing, inadequate systems and controls, mis-selling and perimeter investigations. He was seconded to the Accountancy & Actuarial Discipline Board (part of the Financial Reporting Council) working exclusively on its investigation in respect of certain audit and unaudited services provided by an accountancy practice to MG Rover. He has also been seconded in-house to a Lloyd's Managing Agent acting as its interim Compliance Officer and then Head of Legal.
Richard is an experienced regulatory advocate, having appeared in civil and criminal courts plus before regulatory tribunals, including the FSA's Regulatory Decisions Committee (RDC) and the General Dental Council's Fitness to Practise Committee. Richard is also a regular contributor to RPC's Regulatory Blog.