Samir is an Associate in the Finance and Banking Disputes Group. His specialism is in the Firm's Financial Services Investigations and Enforcement practice.
Having worked both in private practice and at the Financial Conduct Authority (FCA), he is well versed in defending and taking action against individuals and corporates in internal and regulatory investigations in the financial services space.
At the FCA from 2017 to 2020, Samir worked in the Enforcement and Supervision divisions. In the Enforcement division he acted in regulatory investigations, contested authorisations and contested supervisory matters and took cases before decision makers. Samir was seconded to the position of Assistant Private Secretary to the Executive Director of Enforcement and Market Oversight and was a member of Enforcement's cyber-security working group. Whilst in the Supervision division, Samir supervised a global financial institution where he worked on enforcement, financial crime, conduct risk, governance and regulatory change issues, among others.
Samir trained at Allen & Overy where his primary focus was on regulatory matters.
Whilst in private practice, worked on:
- Defending a senior individual at a global financial institution against the FCA's allegation that he was knowingly concerned in certain breaches. The case was discontinued.
- An internal investigation for a global financial institution into whether an employee was in breach of FCA rules and engaging in anti-competitive behaviour. Reports were made to the relevant regulators.
- Defending a senior individual against the Financial Reporting Council's allegations of improper behaviour. The case was discontinued.
Whilst at the FCA, worked on:
- Regulatory investigations including: market abuse – taking an insider dealing case before the Regulatory Decisions Committee; outsourcing, cyber-security and IT failings and money laundering failings – assessing the culpability of senior management and the adequacy of the firm's controls.
- Contested authorisations including: senior management function interviews - assessing applications and attending interviews with individuals applying to hold senior management functions; and permission to carry on regulated activities - assessing firms' applications to enter the regulatory perimeter and, where required, presenting matters before the Regulatory Transactions Committee.
- Contested supervisory matters including drafting supervisory warning notices.
Associate, Mishcon de Reya LLP
Associate, Financial Conduct Authority: Enforcement (Enforcement Legal and Assistant Private Secretary to the Executive Director of Enforcement and Market Oversight) and Supervision
Trainee Solicitor, Allen & Overy: London and Brussels
University of Utrecht, LLB
University of Warwick, LLB
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