Elizabeth is an Associate in the Contentious Regulatory and Enforcement team, part of the firm's Finance & Banking group. She has experience in advising authorised firms, approved persons, directors, corporates and individuals in relation to current or potential investigations brought by bodies such as the Financial Conduct Authority ('FCA') and Serious Fraud Office ('SFO').
She has particular experience of FCA Enforcement investigations, advising individuals and firms at risk of, or under, regulatory investigation by the FCA for alleged misconduct or rule breaches. Her experience includes cases concerning market abuse, breaches of the general prohibition, insider dealing, FCA approvals, confiscation, multi-jurisdictional regulation and internal investigations.
Elizabeth’s skills were strengthened by a seven month secondment to the FCA's Regulatory Enforcement division in 2016 where she gained valuable insight into the future strategy of, and priorities for, the FCA as well as the FCA's approach to Enforcement.
Elizabeth is also a committee member of the Female Fraud Forum and a member of the Financial Services Lawyers' Association, Young Fraud Lawyer's Association, Association of Regulatory and Disciplinary Lawyers and London Solicitors Litigation Association.
- Advised an unregulated introducer under FCA Enforcement investigation for allegations of breaching the general prohibition and unauthorised financial promotions.
- Acted for an individual under FCA investigation for matters concerning personal account dealing.
- Advised an FCA approved person on matters concerning fitness and propriety and disclosure obligations.
- Represented individuals in FCA interviews under caution in relation to potential insider dealing/market abuse.
- Advised an IFA firm in relation to FOS complaints and FCA Supervision enquiries relating to unsuitable advice regarding pensions.
- Assisted a plc to respond to an onerous FCA compelled information request regarding various alleged regulatory breaches.
- Assisted with the representation of a senior executive at an SFO compelled interview in relation to alleged serious fraud at a multinational company.
- As part of an internal investigation, represented a senior individual during a two day interview in Dubai in relation to the alleged payment of bribes.
Associate, Mishcon de Reya LLP
Solicitor, Irwin Mitchell
Qualified, Irwin Mitchell
College of Law, Legal Practice Course
Northumbria University, Graduate Diploma in Law
University of Dundee, English & Scottish Literature