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Simmons & Simmons

CITYPOINT, ONE ROPEMAKER STREET, LONDON, EC2Y 9SS, ENGLAND
Tel:
Work +44 20 7628 2020
Fax:
Fax +44 20 7628 2070
DX:
12 LONDON CHANCERY
Email:
Web:
www.simmons-simmons.com

Caroline Hunter-Yeats

Tel:
Work 020 7825 4571
Email:
Simmons & Simmons

Position

Caroline is a financial markets litigation specialist with a particular focus on wealth management firms and complex products sold to high net worth investors. She also regularly advises on the contentious regulatory aspects of the FCA’s product and distributor governance in the retail structured products and asset management sectors. Caroline has been recognised in the major UK directories for a number of years as a leading individual in banking litigation, dispute resolution and professional negligence disputes. In 2009 Caroline was seconded to the wealth management division of a major bank where she headed up their litigation function. This has given her an in-depth insight into the challenges faced by in house counsel and how external lawyers can best support them.

Career

Trained Simmons & Simmons 1997; qualified 1999; admitted as a solicitor-advocate (all higher courts) 2003; partner 2008.

Education

University of Oxford (Jurisprudence).


London: Dispute resolution

Banking litigation: investment and retail

Within: Banking litigation: investment and retail

Simmons & Simmons’ international financial markets litigation group is 'simply outstanding, responsive, thorough, detailed and creative'. It focuses on contentious work for financial institutions, asset managers and hedge funds; and the practice combines expertise in financial markets litigation, investigations and contentious regulatory matters, and financial crime. Tim Boyce, who heads the financial markets litigation practice, acts for financial institutions in regulatory investigations, disputes and fraud claims; and Robert Turner’s experience includes acting for Icelandic bank Kaupthing in Commercial Court proceedings, relating to a multi-currency debt of over £300m and high-value assets provided as security for the debt; the proceedings in London raised complex factual and legal issues relating to fraud, market abuse, insider dealing and the enforceability of contracts for an illegal purpose, among others; Turner is 'simply excellent; clients appreciate his calm demeanour and his incisive and clinical approach'. Other highly regarded practitioners include Richard Bunce, whose practice is based exclusively on financial markets disputes and has a strong international focus and Caroline Hunter-Yeats, who has a particular focus on wealth management firms and complex products sold to high-net-worth investors as well as senior partner Colin Passmore, Ed Crosse, Robert Allen, Paul Baker and Alexander Thavenot.

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Legal Developments by:
Simmons & Simmons

  • Failure to counter financial crime: Norwich Union Life

    In December 2007, the Financial Services Authority (FSA) imposed a fine of £1.26m on Norwich Union Life (part of the Aviva Group), one of the largest life insurance businesses in the UK with around seven million customers. The fine related to failures to take reasonable care to establish and maintain effective systems and controls for countering the risks of financial crime. The fine is the latest confirmation of the emphasis being placed on protecting clients and customers from the threat of financial crime.
    - Simmons & Simmons

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