Nik is a partner in the Financial Regulation Group in London. Nik advises banks, broker-dealers, insurers, asset managers, wealth management firms and listed companies on regulatory and compliance matters, with a particular focus on contentious regulatory, governance and compliance risk management issues.
Nik’s work covers a diverse range of topics, but he specialises in advising clients on senior management responsibility, governance and risk management systems and controls. Nik has advised many of the largest global financial institutions on their senior management and governance arrangements, including advising clients in relation to the implementation of the Senior Managers & Certification Regime. This work has included advising clients in relation to investigating non-financial misconduct, advising clients in relation to fitness and propriety assessments / conduct rule breach reporting, regulatory references, and consequence management, including disciplinary processes and remuneration adjustments.
Nik has also represented global financial institutions in relation to some of the highest profile enforcement investigations brought by the PRA, FCA and FSA – including advising clients in relation to enforcement investigations relating to culture and the handling of non-financial misconduct allegations.