I am available for expert witness work. I have extensive knowledge of the FCA Rules as relate to financial advice (investment advice) and the regulator’s expectations of advisory firms. I am the country’s leading expert on what the suitability and disclosure rules mean in practice.
My expert witness experience includes:
- Financial Conduct Authority v Avacade & ors (clear, fair and not misleading) (judgment)
- Adam Anderson and others v Sense Network Limited (s39)(judgment)
- First Financial Limited v The Financial Services Authority (suitability of advice)(decision)
- I have been/am currently involved with further s39 and suitability of advice cases
Please contact me on 07761 288652 or firstname.lastname@example.org for an initial discussion on the nature of the case and a conflicts of interest check. My hourly rate is £350.
I have worked for 20 years in financial advice firms, 10 years at the regulator and have now set up my own training and consultancy firm.
In my time at the regulator I became increasingly influential in the way the FCA thought about, and supervised advisers.
Prior to joining the regulator, I worked in financial advisory firms mainly in compliance, training and technical support roles. I have Chartered Financial Planner status with 460 CII credits.Read more...