Guy is a Partner in the Financial Services Regulatory Group.
Guy specialises in regulatory disputes, particularly involving financial and professional services and has been involved in some of the FCA and PRA's highest profile investigations against both individuals and institutions.
He was formerly a member of the FCA's senior leadership team and had responsibility for developing enforcement strategy, especially in relation to financial crime and anti-money laundering where he chaired the cross-divisional working group. While at the FCA, Guy set up and ran an internal expert group for investigations against senior individuals and also chaired the FCA's insolvency expert group.
Guy conducts and advises clients on internal investigations, including those involving directors and senior managers. He also provides compliance advice to firms, particularly where it involves supervisory intervention by the FCA and PRA, change of control applications and issues involving application of SMCR rules. He provides AML advice to all regulated sectors.
His regulatory experience involves a wide range of matters including anti-money laundering controls, financial promotions, listings rule breaches, conflicts of interest, suitability of advice, treatment of customers, client asset rules, market misconduct, unauthorised business, competition law and personal culpability of individuals as well as matters in the gambling and professional sectors.
Guy's court experience is extensive and includes civil litigation before the Court of Appeal and Supreme Court in cases involving regulatory disputes, fraud, asset tracing, insolvency, and commercial disputes.
Guy is listed as a leading individual in Legal 500 and ranked by Chambers & Partners.
Guy is a member of the Law Society's Money Laundering Task Force and also sits on the Lexis/Nexis editorial board for financial services. He is a regular media commentator on Financial Services Regulatory matters.
Recent investigations/experience includes:
- Acting for the administrators of London Capital and Finance Plc.
- Leading an investigation into the Open Banking Implementation Entity following allegations of misconduct (the Alison White report).
- Acting in a number of FCA cases representing traders subject to investigation by the FCA.
- Acting for the former director of a listed company under investigation for listing rule breaches.
- Representing firms in a number of "perimeter cases" involving allegations of unauthorised business.
- Advising a number of CFD firms under investigation by the FCA.
- Representing a director under investigation by the PRA.
- Representing a firm subject to an investigation by Lloyd's.
- Acting for firms and individuals subject to ICAEW investigations.
Advisory work includes:
- Providing advice to the Alpha Auto Group and Global Auto Holdings Limited on the FCA regulatory business plan and FCA change in control application for the acquisition of listed company Lookers plc.
- Advising a debt advice firm on remediation work – including undertaking a past business review.
- Advising a leading crypto firm on putting in place systems and controls to comply with FCA financial promotion rules.
- Advising on applications for FCA AML registration including drafting of appropriate policies and procedures.
- Advising on applications for senior manager approval.
Partner, Mishcon de Reya LLP
Partner, Mayer Brown
Acting Head of Department, Financial Conduct Authority
Associate: Osborne Clarke
Associate: Allen & Overy