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Linklaters LLP

ONE SILK STREET, LONDON, EC2Y 8HQ, ENGLAND
Tel:
Work 020 7456 2000
Fax:
Fax 020 7456 2222
DX:
10 LONDON CITY EC3
Email:
Web:
www.linklaters.com
Abu Dhabi, Amsterdam, Antwerp, Bangkok, Beijing, Berlin and 25 more

Nikunj Kiri

Tel:
Work 020 7456 3256
Email:
Linklaters LLP

Work Department

Financial regulation

Position

Nik is a partner in the Financial Regulation Group in London.  He has extensive experience of advising banks, broker-dealers, insurers, asset managers, wealth management firms and listed companies on regulatory and compliance matters, with a particular focus on contentious regulatory and compliance risk management issues. 

Nik’s contentious regulatory experience includes conducting internal investigations and reviews following the discovery of suspected compliance failures; assisting clients in managing section 166 skilled persons’ reviews; advising clients in relation to managing communications with regulators; representing clients in FSA/FCA investigations and enforcement proceedings (including representing clients before the Regulatory Decisions Committee, in the Upper Tribunal and in the higher courts); advising clients in relation to the development and implementation of past business reviews and redress/remediation programmes; and assisting clients in managing civil litigation risks arising out of regulatory failings.

Nik also regularly advises clients on compliance risk management issues, including advice on the practical implications of regulation for their business practices and governance arrangements, and strategies for mitigating and managing regulatory and conduct risks.  Nik’s work in this area covers a diverse range of topics, from senior management responsibility, governance and risk management frameworks to conflicts of interest, insider dealing, market abuse, client money, fair treatment of customers, complaint handling and other conduct of business issues. Nik also regularly advises listed companies, corporate brokers and sponsors in relation to the disclosure and control of inside information, the LR8 sponsor regime and other Listing Rule/DTR compliance matters.

Career

Trainee solicitor, Herbert Smith Freehills, London 2001-03; associate Herbert Smith Freehills, London 2003-10; partner Herbert Smith Freehills, London 2010-2013; partner Linklaters, London 2013.

Education

Gonville & Caius College, University of Cambridge, BA Hons (Law), 1997-2000; Nottingham Law School, Legal Practice Court (2000-01).


London: Corporate and commercial

Financial services

Within: Financial services

Praised for its ‘excellent industry knowledge’, Linklaters LLP’s integrated ten-partner practice provides a ‘first-class service’ to investment banks, investment managers and infrastructure providers across the spectrum of contentious and non-contentious matters affecting their businesses. At the forefront of prudential regulation, the firm is a ‘clear leader’ on ring-fencing matters and continues to be the lead/strategic adviser to two UK clearing banks as they seek to implement this separation of their retail and investment/trading activities As well as being heavily involved in providing strategic advice on other key regulatory issues, including Brexit and MiFID II, the firm has had a key role advising numerous retail and investment banks on ensuring implementation of the recently enacted Senior Managers and Certification Regime. Formerly in-house at a major investment bank, Harry Eddis has excellent insight into the industry and has been active across a wide variety of regulatory issues including those impacting on the clearing sector and Fintech. Eddis recently helped establish LMEprecious, an innovative new suite of exchange-traded, loco London precious metals products. Michael Kent is ‘very strong on regulatory matters’ and is an experienced member of the team that also includes Peter Bevan (who has developed a strong reputation for advising on MiFID II issues); Sarah Parkhouse, who has a focus on regulatory issues arising in the private wealth management and retail sector; and Nadia Swann, who specialises in senior management training (including preparation of CEOs, non-executive directors and a broad range of senior business people) and in regulatory corporate governance and policy management and legal risk and reviews. On the contentious front, the firm has an ‘outstanding offering’ and is regularly involved in high-profile internal investigations, as well as regulatory enforcements/investigations and associated private litigation. Carl Fernandes has a ‘thorough grasp of his area’ and is a key member of the team that also includes the ‘outstanding’ Nikunj Kiri, Martyn Hopper and Christa Band. Clients include Citi, UBS, Lloyds, RBS and Aviva.

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