PIMFA Roundtable: Avoiding A Culture of Complacency

David is a senior employment law specialist based in the dacb London office dealing with a full spectrum of employment advisory, litigation and transactional matters.
David has over 15 years’ experience advising clients in a range of sectors on their strategic employment matters and regularly advise on high-profile disputes and discrimination issues, bonus disputes, enforceability of restrictive covenants, senior and executive level appointments and terminations, employment aspects related to M&A, international restructures and consultaiton processes, as well as other day-to-day employment and HR matters.

David has considerable experience advising on contentious matters before the Employment Tribunal and High Court. He also regularly advise businesses on their strategic models and ways in which to protect their goodwill, confidential information and retain key employees. He has a particular focus on financial services and a keen interest in the tech sector.

Angela is a financial services regulation expert with a main focus on investigations and enforcement defence but also with an advisory practice.

Angela has more than 20 years’ experience advising clients across the spectrum of financial services –  banks (investment and retail), asset managers and investment funds, securities brokers, wealth advisers, insurers, and listed companies.  Angela is well known for her particular expertise regarding market abuse, financial crime and regulatory issues impacting the asset management sector.

Angela’s career has included 12 years as a partner in the London offices of leading US law firms.

Angela has led many major regulatory investigation and defence projects, including coordinating cross-border multi-jurisdictional matters, involving the PRA, FCA, SFO, DOJ, SEC, NY DFS and other regulators in Europe and around the globe.  These cases have covered a wide range of issues but include complex market manipulation, investment and trading errors, transaction reporting, fraud and allegations of bribery and corruption.  Angela has also assisted many clients with internal investigations and dialogue with regulators, where the facts found have enabled clients to avoid regulatory enforcement action.  Most recently this has included issues raised by whistleblowers and culture/conduct issues.

Angela’s advisory practice includes conduct risk mitigation,  corporate governance and the senior manager and certification regime, advising on the launch of new products and new businesses (including obtaining authorisation for a new bank and a new life assurance company) and transactional support, including the acquisition of wealth and asset management businesses and Part VII transfers of insurance business.

 Michelle is an industrial/organizational psychologist with a decade of experience in leveraging behavioural science principles to tackle complex and strategic people-related challenges. With a diverse background spanning consulting, industry, and academia, Michelle has worked with numerous organizations across 4 continents specialising in measuring and embedding positive and proactive risk cultures. 

Michelle has led the ideation, setup, insights generation, and rollout of comprehensive behavioural monitoring programs across various financial services institutions, fostering engagement at all organizational levels, from executive leadership to risk and culture teams, ensuring alignment and collaboration. She has also reviewed and adapted risk monitoring strategies to meet evolving regulatory requirements, ensuring compliance and effectiveness and supported in creating documentation for regulatory reviews, providing clear and thorough insights.

Michelle actively contributes to thought leadership through webinars, podcasts, and reports, collaborating with prominent financial governance bodies such as the FMSB and FRC.