Whilst at Ogier, Daniel has assisted financial services clients who are responding to concerns raised by JFSC Supervision, and has advised in connection with JFSC Enforcement cases resulting in civil financial penalties and public statements. Daniel has also advised clients on AML and sanctions issues, and in connection with Jersey's probate intermeddling offence.
More generally, Daniel has assisted on a number of trust-related matters (e.g. mistake and blessing applications) before the Royal Court.
Prior to joining Ogier, Daniel was a Technical Specialist in the Legal Group of the UK Financial Conduct Authority’s (FCA) Enforcement Division. In his 9 years at the FCA/FSA, Daniel was involved in some of the FCA’s most sensitive and high-profile matters. He advised on contentious cases across the breadth of the regulator’s authorisation, supervision and enforcement functions and in relation to a broad range of industry sectors. He has experience of cases before the FCA’s internal decision-making committees, as well as external courts and tribunals.
Examples of the type of cases on which Daniel advised at the FCA include:
- The imposition of financial penalties on authorised firms for breaches of FCA Principles and rules
- The imposition of financial penalties and prohibition orders on individuals
- The imposition of requirements/directions on authorised firms (e.g. requiring them to cease activities), as well as variations of their regulatory licences
- Refusals by the FCA of applications: by firms for regulatory licences; for approval for individuals to perform specified functions; and by those wishing to acquire shareholdings in authorised firms
- Taking action through the High Court against those who have carried on unauthorised business (including seeking freezing and other injunctive relief, and compensation for investors)
- Defending decisions of the regulator in judicial review proceedings
- Petitioning for the bankruptcy or winding-up of relevant firms (both on traditional insolvency and public interest grounds), as well as the appointment of a provisional liquidator to recover misappropriated client assets
Prior to joining the FCA, Daniel worked in the litigation department of (then) Herbert Smith LLP. Much of his work was for insurance companies, and he also worked on the high-profile Buncefield litigation.
Daniel obtained a degree in Jurisprudence at Oxford, and since then has obtained a degree in Politics, Philosophy and Economics and a Masters in Financial Economics.
Admitted in:
2007 - England and Wales (Solicitor) (non-practising)
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