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Alex is a Senior Associate in the Financial Services Regulatory team at CMS. He advises clients on a range of contentious and non-contentious matters.
Alex joined CMS in 2022 having worked as a Manager/Senior Manager in EY’s FS Legal team for five years and, prior to that, an Associate Lawyer in the FCA’s enforcement division for over seven years.
Alex has in-depth knowledge and expertise in relation to regulatory enforcement investigations involving firms and individuals, and covering matters such as governance and systems and controls failings, poor customer treatment, and AML failings. Alex has experience of the various stages of the lifecycle of an investigation, including Skilled Person appointments, consumer redress programmes and whistleblowing.
Alex has advised clients in both retail and wholesale sectors on a wide range of non-contentious regulatory matters, including perimeter related advice, compliance with FCA Handbook/PRA Rulebook requirements, FCA authorisation applications, updates to firms’ policies and procedures to reflect the latest regulatory requirements, Brexit-related gap analyses and compliance with UK sanctions laws.
