Simmons & Simmons

Disputes and Investigations

Tom is a managing associate within the Disputes & Investigations team.

Tom advises asset managers, wholesale and retail banks, and individuals on a wide range of contentious regulatory matters and internal investigations. His experience includes matters relating to systems, controls and governance, anti-money laundering obligations, treating customers fairly, product failures, the conduct of s.166 FSMA skilled persons reviews as well as the conduct of regulated persons under the Senior Managers and Certification Regime.

Well versed in enforcement investigations by the Prudential Regulation Authority (PRA), Tom has undertaken a one-year secondment with the Bank of England’s Enforcement and Litigation Division where he acted on regulatory enforcement investigations including before the PRA’s Enforcement Decision Making Committee. Prior to this, Tom spent time on secondment in the investigations function of a major wholesale bank.