Tony is a true financial services and banking specialist. He advises a range of clients such as banks, investment exchanges and multilateral trading facilities, securities and derivatives firms, corporate finance and venture capital firms, investment managers and advisers, listed companies, direct investment platforms, mortgage lenders and intermediaries, and consumer credit/consumer hire firms. He regularly works closely with other law firms, providing them with financial services and regulatory expertise where needed to support their clients.
Having spent time working both in-house and in private practice, he is able to advise wholesale and retail financial services businesses and has a deep understanding of the practical implications of legal issues for businesses and individuals, as well as the root causes of regulatory problems. Tony brings the same practical insight to Financial Conduct Authority and Prudential Regulation Authority investigations and enforcement actions.
Tony has for a long time had a keen interest and involvement in innovative investment and fintech, including crowdfunding, and has contributing to shaping the development of regulation in these areas. He also has expert knowledge of ethical and not-for-profit financial business.
We have worked with Tony since we launched in 2011, he has been our regulatory lawyer and has been central to the delivery of many of the industry innovations we have delivered, including the UK's first Innovative Finance ISA and peer to peer SIPP.
Karl Harder, Founder & Joint Managing Director
Abundance Investment Limited
With a broad knowledge of financial services law and regulation and practical experience in the industry, Tony approaches regulatory enforcement issues with an immediate understanding of the complex legal and factual issues that arise with regard to PRA and FCA investigations.He has represented individuals under regulatory investigation on numerous occasions up to RDC level in cases involving:
Tony has been successful in preventing regulatory action by advising clients as to their position and dealing effectively with the regulators – for example, in relation to market abuse and FSMA authorisation issues.
He has recently:
Please note: The experience list above may include examples of work completed prior to joining Keystone Law.
Member of the Financial Services Lawyers Association (FSLA)
Member of the Association of Regulatory and Disciplinary Lawyers (ARDL)
Higher Rights Advocate (Civil)
|2007||Keystone Law | Consultant Solicitor|
|2001-2007||Barclays Bank PLC, Barclays Wealth Management Division | Co-Head of Legal|
|2000–2001||Kleinwort Benson Private Bank | Director in Product Development Department|
|1997–2000||Mitsubishi Trust and Banking Corporation | Head of Legal and Compliance|
|1989–1997||National Westminster Bank PLC Group | Senior lawyer rising to joint Head of Central Legal Department at NatWest Markets|
|1988–1989||Bank of Scotland | Legal adviser|