Tom handles Financial Services matters (non-contentious advisory and contentious regulatory and investigations). His non-contentious practice includes advising clients in wholesale markets (across a wide range of asset classes, including equities, commodities, fixed income, digital assets and others), and retail. He regularly advises clients on UK regulated activities, FCA Handbook matters, authorisations, payment systems, individual accountability and the SMCR, outsourcing, banking, fintech, digital assets, financial promotions, client assets, banking, market conduct, systems and controls, client assets, exchange rulebooks, and wholesale market regulations such as MiFID II, EMIR, SFTR & the Benchmarks Regulation. He also covers retail issues, such as consumer credit, retail lending, complaints and the consumer duty. Tom’s contentious regulatory practice covers investigations, enforcement, complaints and whistleblowing. Tom was previously Head of Enforcement for a UK regulatory body, and prosecuted dozens of enforcement actions against financial market participants. He now brings that experience to bear in defence of clients who are being investigated by the FCA, exchanges and other regulatory bodies. Tom assists clients with internal investigations, whistleblowing and complaints. Tom also handles Corporate, Commercial and IP & Technology matters and is a member of our ESG, Compliance & Investigations team. His expertise in these areas is summarised below. Tom’s clients include exchanges, clearing houses, banks, trading firms, brokers, lenders, fintech companies, digital assets providers, data providers, price reporting agencies, government agencies and others, ranging from growth stage companies to household names. Before joining Temple Bright in 2023, Tom spent 17 years at the London Metal Exchange, most of it as General Counsel and Head of Enforcement, also running the Company Secretarial function. During his career he has been named twice in Financial News’ “40 Under 40 Rising Stars of the Legal Profession”. Prior to joining the LME, Tom worked at international law firms Simmons & Simmons and Debevoise & Plimpton in the City.
Relevant experience at Temple Bright and previous firms includes:
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