Experience
Aaron has broad experience across the Financial Services sector, acting on compliance, advisory and contentious matters.
Having spent two years working as the in house regulatory lawyer for Raymond James, the UK subsidiary of a Fortune 500 US wealth manager, Aaron has a detailed understanding of the wealth management sector and now represents UK wealth managers, advising on compliance, new business propositions, distribution and conduct risk.
Aaron acts in matters involving systemic risk, multiple claims and (FOS) complaints as well as defending individuals and firms in enforcement action brought by the FCA (and other regulators). Aaron has acted for banks and other regulated entities advising on managing conduct risk and systemic regulatory breaches.
Publications
- To Judicially Review or not: Key considerations for challenging the FOS. May 2019.
- Money Laundering - Now a two-sided coin. April 2019.
- Management Information and Foreseeability: A timely pre-SM&CR reminder. April 2019.
- Defined Benefit Pension Transfer Advisers Beware: Clear and Repeated Warnings. January 2019.