Jake advises clients on a wide range of issues arising from breaches of civil and regulatory laws, as well as assisting clients with internal investigations, remediation, and response to enforcement into potential breaches of rules and regulations. Jake also advises on the application and interpretation of financial services regulations, particularly in relation to wholesale market conduct, technology and information management, cyber and operational resilience, and outsourcing.
Jake has acted as defence counsel for global financial institutions on their response to cross-border investigations and enforcement into major cyber-attacks and other technology-related incidents. Jake has advised and assisted banks and other companies associated with the financial sector in relation to a range of regulatory enforcement matters, including investigations into insider dealing, market abuse and market manipulation, the misuse of electronic trading algorithms and platforms, the fall-out from a global cyber breach of customer data, AML systems and controls failings, and the mis-sale of FX products.
Jake was formerly the Head of Investigations & Enforcement for a global bank. He is the author of a Guide to Conducting Internal Investigations published by Bloomsbury Professional.
Latest ESMA report summarizes STOR patterns across 2010 to 2022 with a focus on 2021/2022.