The Best Time to Manage Risk Is Before It Finds You
By the time a regulatory investigation lands, a compliance gap is exposed, or a commercial dispute escalates, the cost — financial, operational, and reputational — has already begun to compound. The businesses that navigate these moments best aren’t the ones with the biggest legal budgets. They’re the ones that built the right frameworks early, understood their regulatory landscape clearly, and had a trusted adviser already in their corner when the pressure arrived.
That’s the work I do. I help businesses build robust compliance and risk management frameworks, maintain them as regulations evolve, and — when things go wrong — respond with the speed, clarity, and strategic discipline that regulators and counterparties respect. My direct experience engaging with securities regulators, including on listing compliance matters, means I understand how regulators think, how enforcement processes unfold, and what separates a credible response from one that makes things worse.
That’s the work I do. I help businesses build robust compliance and risk management frameworks, maintain them as regulations evolve, and — when things go wrong — respond with the speed, clarity, and strategic discipline that regulators and counterparties respect. My direct experience engaging with securities regulators, including on listing compliance matters, means I understand how regulators think, how enforcement processes unfold, and what separates a credible response from one that makes things worse.
What I Offer
Regulatory Compliance Frameworks Compliance isn’t a single document — it’s a living system of policies, procedures, controls, and culture that must reflect the reality of your business and the regulatory environment in which you operate. I design and implement bespoke compliance frameworks tailored to your sector, your risk profile, and your operational footprint. This includes:
- Identifying the regulations and regulatory bodies applicable to your business
- Mapping your compliance obligations against your current operations
- Conducting gap analyses to pinpoint vulnerabilities
- Designing proportionate policies, procedures, and internal controls
- Establishing monitoring, reporting, and escalation mechanisms
- Preparing your business for regulatory inspections and audits
Whether you need a framework built from scratch or an existing programme overhauled and modernised, I deliver something that actually works in practice — not a shelf of policies that no one reads and no one follows.
Licensing: Many businesses operate in sectors where regulatory licensing is a condition of trading — and where operating without the correct licence, or failing to maintain its conditions, carries severe consequences. I advise on licence applications, renewals, variations, and ongoing compliance with licence conditions across regulated sectors. I help you understand what licences you need, navigate the application process, and maintain good standing with the relevant authority.
AML/KYC Policies: Anti-money laundering and know-your-customer obligations are no longer confined to banks and financial institutions. A widening range of businesses — from fintech platforms and payment providers to estate agents, art dealers, and professional services firms — now fall within scope.
I draft and review AML/KYC policies and procedures that meet the requirements of the Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017 (as amended), relevant FCA guidance, and — where applicable — equivalent international standards. This includes:
Licensing: Many businesses operate in sectors where regulatory licensing is a condition of trading — and where operating without the correct licence, or failing to maintain its conditions, carries severe consequences. I advise on licence applications, renewals, variations, and ongoing compliance with licence conditions across regulated sectors. I help you understand what licences you need, navigate the application process, and maintain good standing with the relevant authority.
AML/KYC Policies: Anti-money laundering and know-your-customer obligations are no longer confined to banks and financial institutions. A widening range of businesses — from fintech platforms and payment providers to estate agents, art dealers, and professional services firms — now fall within scope.
I draft and review AML/KYC policies and procedures that meet the requirements of the Money Laundering, Terrorist Financing and Transfer of Funds Regulations 2017 (as amended), relevant FCA guidance, and — where applicable — equivalent international standards. This includes:
- Customer due diligence and enhanced due diligence procedures
- Risk assessment frameworks
- Suspicious activity reporting protocols
- Staff training requirements
- Record-keeping obligations
- Ongoing monitoring processes
I ensure your AML programme is genuinely risk-based — not a generic template that would collapse under regulatory scrutiny.
Sector-Specific Regulation; Every industry has its own regulatory layer — and navigating it requires more than general legal knowledge. I advise businesses operating in regulated and semi-regulated sectors on the specific rules, codes, and guidance that apply to them, including how to embed those requirements into day-to-day operations without paralysing the business.
Whether your sector involves financial services, technology, healthcare, professional services, or emerging industries where the regulatory landscape is still taking shape, I help you understand the rules, comply with confidence, and anticipate where regulation is heading next.
Securities Regulation and Listing Compliance: I bring direct, hands-on experience working with securities regulators — including on matters relating to listing rules, ongoing disclosure obligations, market abuse regulations, and corporate governance codes applicable to listed entities. This is not theoretical knowledge drawn from a textbook. I have been in the room, engaged with the regulator, and navigated the process.
I advise on:
Sector-Specific Regulation; Every industry has its own regulatory layer — and navigating it requires more than general legal knowledge. I advise businesses operating in regulated and semi-regulated sectors on the specific rules, codes, and guidance that apply to them, including how to embed those requirements into day-to-day operations without paralysing the business.
Whether your sector involves financial services, technology, healthcare, professional services, or emerging industries where the regulatory landscape is still taking shape, I help you understand the rules, comply with confidence, and anticipate where regulation is heading next.
Securities Regulation and Listing Compliance: I bring direct, hands-on experience working with securities regulators — including on matters relating to listing rules, ongoing disclosure obligations, market abuse regulations, and corporate governance codes applicable to listed entities. This is not theoretical knowledge drawn from a textbook. I have been in the room, engaged with the regulator, and navigated the process.
I advise on:
- Listing rule compliance and ongoing obligations
- Regulatory announcements and disclosure management
- Inside information handling procedures
- Related party transactions
- Board and committee governance requirements under applicable codes
- Engagement with regulators during reviews, investigations, and enforcement processes
If you are listed, preparing to list, or considering a listing — or if you are already subject to regulatory scrutiny — I provide the kind of calm, experienced guidance that only comes from having done this before.
Dispute Advisory Not every dispute needs a courtroom. In fact, most shouldn’t get anywhere near one. I provide strategic pre-dispute and dispute advisory services designed to protect your position, manage exposure, and — wherever possible — resolve matters before they escalate to formal proceedings.This includes:
Dispute Advisory Not every dispute needs a courtroom. In fact, most shouldn’t get anywhere near one. I provide strategic pre-dispute and dispute advisory services designed to protect your position, manage exposure, and — wherever possible — resolve matters before they escalate to formal proceedings.This includes:
- Early risk assessment and exposure analysis
- Pre-action correspondence and negotiation strategy
- Regulatory investigation response and management
- Engagement with ombudsmen and industry complaint schemes
- Strategic advice on settlement, mediation, and alternative dispute resolution
- Coordination with external litigation counsel where proceedings become necessary
My approach to disputes is the same as my approach to risk: pragmatic, commercially grounded, and always focused on the outcome that best serves your business — not the one that generates the most legal fees.
Why It Matters
Regulatory risk is not abstract. It is personal. Directors face disqualification. Businesses face fines, licence revocations, and public censure. In the most serious cases, individuals face criminal prosecution. And even where the formal outcome is manageable, the reputational fallout from a regulatory failure can take years to repair — if it can be repaired at all.
On the dispute side, unmanaged commercial conflicts drain management time, destroy relationships, and create uncertainty that infects every other part of your business. The sooner a dispute is addressed with a clear strategy, the less damage it does.
The common thread is this: risk and disputes are not problems for tomorrow. They are problems that demand attention today, when you still have options, when you still have leverage, and when the cost of getting it right is a fraction of the cost of getting it wrong.
On the dispute side, unmanaged commercial conflicts drain management time, destroy relationships, and create uncertainty that infects every other part of your business. The sooner a dispute is addressed with a clear strategy, the less damage it does.
The common thread is this: risk and disputes are not problems for tomorrow. They are problems that demand attention today, when you still have options, when you still have leverage, and when the cost of getting it right is a fraction of the cost of getting it wrong.
Who I Work With
- Regulated businesses — including financial services, fintech, payments, and professional services firms — that need robust compliance frameworks and ongoing regulatory support
- Companies preparing for or subject to regulatory inspections, reviews, or investigations and needing experienced counsel to manage the process
- Listed and pre-IPO companies requiring listing compliance advisory and securities regulation support
- Businesses in emerging or rapidly evolving sectors where the regulatory environment is uncertain and strategic guidance is essential
- Any business facing a commercial or regulatory dispute that wants strategic counsel before instructing litigators — or instead of instructing them altogether
How I Work
I don’t deal in compliance theatre. I have no interest in building frameworks that look impressive on paper but fall apart under the first question from a regulator. Everything I design is built to function — to be understood by the people who use it, proportionate to the risks your business actually faces, and resilient enough to withstand genuine scrutiny.
When it comes to disputes and regulatory engagement, I operate with discretion, urgency, and the steady composure that comes from experience. I’ve sat across the table from regulators. I know when to push, when to concede, and when to say nothing at all. That judgement is not something you can learn from a manual — it comes from having done it.
I work directly with you. No handoffs, no junior associates, no layers between you and the person advising you. When the stakes are highest, that’s exactly what you need.
When it comes to disputes and regulatory engagement, I operate with discretion, urgency, and the steady composure that comes from experience. I’ve sat across the table from regulators. I know when to push, when to concede, and when to say nothing at all. That judgement is not something you can learn from a manual — it comes from having done it.
I work directly with you. No handoffs, no junior associates, no layers between you and the person advising you. When the stakes are highest, that’s exactly what you need.
Let’s Build Your Defences Before You Need Them
If your compliance framework is overdue for a review, if you’re entering a regulated market for the first time, if a regulator has made contact, or if a dispute is brewing that needs early strategic attention — reach out. These conversations are always best had early, and always in confidence.