Linklaters LLP

Financial Regulation Group

Partner

Gavin specialises in complex investigations work and heads the firm’s London Investigations Group.

He advises well known corporates, professional services firms, financial institutions and funds.

He has extensive experience of managing multi-jurisdictional enforcement investigations in the UK, Asia-Pacific, Europe, and the US.

Gavin has dealt with a wide range of regulators, with a current focus on enforcement investigations by the Financial Reporting Council, Financial Conduct Authority and HMRC.

He spent six months on secondment in the Litigation and Legal Review team in the Enforcement Division at the Financial Conduct Authority in 2019.

Gavin also has experience in financial crime, market manipulation and insider dealing investigations.

Prior to relocation to London in 2018, Gavin has had experience of investigations by the Hong Kong Securities and Futures Commission, Takeovers Panel (in disciplinary cases), Stock Exchange the Insider Dealing Tribunal, together with numerous other Asian and US regulators.

Gavin was a Managing Director responsible for litigation and regulatory inquiries across Asia Pacific at UBS from 2006 to 2008 based in the Investment Bank and working with the Wealth Management business, reporting to the General Counsel and a member of the Risk Committee.

In his investigations and litigation practice, Gavin also has experience of acting for individuals, including professionals, in relation to a range of regulatory, disciplinary and criminal investigations.

Before joining Linklaters in 2014, Gavin was head of Herbert Smith Freehills’ Asia litigation team. He qualified in the UK in 1994.

Work highlights - London-listed global mining company: an investigation into matters leading to the dismissal of the CEO for serious misconduct. - An international bank: an internal investigation and related investigation by HMRC into alleged breaches of trade sanctions. - Barclays Bank: representing the bank in relation to an FCA enforcement investigation concerning its customer Premier FX leading to a negotiated Final Notice and fine. - UK retail banks: acting on several FCA investigations, including in relation to whistleblowing, and in relation to financial crime investigations. - Listed Corporates: FCA investigations regarding potential disclosure of inside information, PDMR issues and compliance with the DTRs and the Listing Rules. - Financial services firm: acting in relation to an FCA investigation concerning a collapsed investment fund. - Leading global investment firm and BofA: Takeovers Executive of the Hong Kong Securities and Futures Commission disciplinary action resulting in public censure for dealing disclosure failings under the Takeovers Code.