Adam Jamieson

Adam has significant experience in representing clients in regulatory enforcement investigations conducted by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA). Adam previously spent a year on secondment to the FCA’s Enforcement & Market Oversight Division. During his time at the FCA, Adam worked as an investigator on FCA and PRA investigations into both firms and individuals.

Adam has particular experience of investigations relating to: risk management systems and controls; senior management duties and governance; AML and MLRO responsibilities; obligations to notify regulators; shareholder influence; compliance with the listing rules; the client money rules; trading controls; insider dealing and control of inside information; capital requirements; and whistleblowing.

Adam frequently acts for clients in responding to regulatory reviews, including Section 166 FSMA skilled person reviews. He also advises clients on the Senior Managers and Certification Regime, regulatory notification obligations and the imposition of regulatory requirements (including VREQs/OIREQs).

Adam has undertaken secondments to both a leading asset management firm and a large insurance company. He is a member of the Financial Services Lawyers Association and regularly presents on regulatory issues.

Adam is recognized for his work in the financial services sector on regulatory investigations by Chambers UK.