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Nikunj Kiri

Nikunj Kiri

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Linklaters LLP

Linklaters LLP

England - London • Corporate and commercial

1

Financial services: contentious

Boasting a deep bench, enhanced by the presence of numerous ex-FSA, FCA and PRA enforcement lawyers and in-house banking lawyers, Linklaters LLP is well-equipped to handle the full range of complex, high-profile, and multi-jurisdictional regulatory matters. The firm's regular workload covers reputational risk, market misconduct, and senior management accountability. The team is headed by Nikunj Kiri advises clients through high-risk contentious matters, from managing FCA and PRA investigations into systems and controls breaches and insider dealing, to steering internal reviews, whistleblowing inquiries, and enforcement proceedings before the RDC and Upper Tribunal. Alison Wilson, noted for her litigation experience, works with various top-tier financial institutions on FCA and SFO investigations, internal inquiries into culture and conduct, section 166 reviews, and enforcement work spanning AML failings, arrears handling, and customer remediation. Head of the firm's investigations arm, Gavin Lewis is a key contact for prominent corporates, financial institutions, and funds, who turn to him for his experience in multi-jurisdictional enforcement investigations spanning the UK, Asia-Pacific, Europe, and the US. Other significant figures within the team include ex-FCA managing director Clare McMullen; Elizabeth Dowd, who brings deep expertise in regulatory enforcement investigations into firms and individuals; and Ben Packer, whose capabilities extend across the worlds of tech, financial services, and sports.
Legal 500 Editorial commentary
Phone
020 7456 3256
Email
[email protected]
Profile
linklaters.com

Profile

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).

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