Angela is a financial services regulation expert with a main focus on investigations and enforcement defence but also with an advisory practice.
Angela has more than 25 years’ experience advising clients across the spectrum of financial services - banks (investment and retail), asset managers and investment funds, securities brokers, wealth advisers, insurers, and listed companies.
Angela has led many major regulatory investigation and defence projects, including coordinating cross-border multi-jurisdictional matters, involving the PRA, FCA, SFO, DOJ, SEC, NY DFS and other regulators in Europe and around the globe. These cases have covered a wide range of issues but include complex market manipulation, investment and trading errors, transaction reporting, fraud and allegations of bribery and corruption. Angela has also assisted many clients with internal investigations and dialogue with regulators, where the facts found have enabled clients to avoid regulatory enforcement action. Most recently this has included issues raised by whistleblowers and culture/conduct issues.
Angela’s advisory practice includes conduct risk mitigation, corporate governance and the senior manager and certification regime.