Contact details

David Capps

T: +44 20 7809 2463 Email David | vCard Office: London

David Capps Partner

Contact details

David Capps

David Capps
Partner

T: +44 20 7809 2463 Email David | vCard Office: London

David is a partner in our London office specialising in financial regulatory and banking matters including regulatory investigations and enforcement matters, internal investigations, financial regulatory compliance and advice and representation in relation to complex financial disputes.
  • Profile

His experience extends to investment banking product and trading disputes and IBD and research matters. He also has experience in dealing with matters involving alleged fraud, insider dealing and market abuse, complex jurisdictional disputes and injunction issues.

He also has extensive experience advising and representing clients in relation to financial regulatory enforcement matters and allied investigations, including interactions with various regulators. He is a recognised expert in relation to UK and EU financial services regulation. David is frequently engaged to carry out or advise upon internal (including whistle-blowing) investigations.

Latest news & insights

28 Feb 2024

From Insights

Uptick in enforcement action in 2024? – Multiple arrests and strong rhetoric from UK Enforcement Agencies

In this alert we explore the implications for firms of the FCA’s focus on insider dealing and the SFO’s apparently renewed appetite for criminal prosecutions under the..

More

15 Feb 2024

From Insights

FCA update on their work towards reducing and preventing financial crime

The FCA has provided a progress update on their work in their recent publication, "Reducing and preventing financial crime", and they look ahead to identify four areas..

More

17 Jan 2024

From Insights

Venice swaps decision sunk by Court of Appeal (Banca Intesa v Venezia)

The Court of Appeal has allowed an appeal by Banca Intesa Sanpaolo SpA and Dexia Crediop SpA and dismissed a cross-appeal by the Comune di Venezia

More

14 Dec 2023

From Insights

New FCA rules on greenwashing and sustainability disclosures and product labelling

The FCA has just published its Policy Statement PS23/16 - Sustainability Disclosure Requirements (SDR) and investment labels.

More

05 Dec 2023

From Insights

London Metal Exchange wins High Court ruling over cancelled nickel trades

On 29 November 2023, the Administrative Court handed down its judgment in the case of Elliott Associates L.P. and other and Jane Street Global Trading v The London Met..

More

01 Dec 2023

From Insights

Big data - the Financial Conduct Authority proposes individual borrower disclosures in relation to consumer credit firms

The Financial Conduct Authority ("FCA") is consulting on plans to require consumer credit firms to hand over a vast swathe of data on their individual customer transac..

More

15 Nov 2023

From Insights

The Financial Conduct Authority tells payment services firms to strengthen their anti-fraud systems and improve their treatment of victims of fraud

In this article, we look at some of the takeaways from the FCA's recent review of payment services firms' anti-fraud systems and controls, in particular around authori..

More

05 Oct 2023

From Insights

The new Financial Services and Markets Act 2023 provides for the revocation of swathes of EU-retained law relating to financial services and markets

In this article, we highlight the proposed approach of the FCA in relation to this monumental task of replacing those EU rules with new, UK-focussed domestic requireme..

More

28 Sep 2023

From Insights

Non-financial misconduct – FCA proposals on conduct impacting individuals' fitness and propriety and breach of conduct rules

A new FCA and PRA Joint Consultation Paper concerning "Diversity and inclusion in the financial sector – working together to drive change" ("the CP") was published on ..

More

08 Sep 2023

From Insights

The FCA's PEP talk…..

This week, we have seen the Financial Conduct Authority ("FCA") publish the terms of reference in relation to its Review of the treatment of UK-domestic politically ex..

More

24 Aug 2023

From Insights

Ofgem fines Morgan Stanley for failure to record and retain electronic trading communications following traders' use of Whatsapp on personal phones

We look at the first UK fine for failure to record and retain electronic communications relating to trading wholesale energy products, and ask whether this might heral..

More

16 Aug 2023

From Insights

When may an individual be liable to make restitution for regulatory breaches by their firm? The meaning of "knowingly concerned" revisited

The Financial Conduct Authority has the power to seek court-ordered restitution orders against firms, and individual "knowingly concerned" defendants in respect of reg..

More

11 Aug 2023

From News

New FCA "Dear CEO letter" sets out wide-ranging expectations and requirements in relation to Principal Trading Firms

On 4 August 2023, the Financial Conduct Authority ("FCA") sent a "Dear CEO letter" setting out their supervisory strategy for "Principal Trading Firms" ("PTFs"). The ..

More

10 Jul 2023

From Insights

FCA launches consultation on a proposed framework for establishing a consolidated tape in the UK

As part of a series of measures announced on 5 July 2023, the FCA published a Consultation Paper in relation to their proposed framework for establishing a "Consolidat..

More

26 Jun 2023

From Insights

The Bank of England/PRA’s consultation on its approach to enforcement

On 21 June 2023, the BoE/PRA)'s Head of Enforcement and Litigation, Oliver Dearie, gave a speech the Financial Services Lawyers Association explaining the rationale be..

More

13 Jun 2023

From Insights

The UK Financial Conduct Authority's new rules in relation to the regulation of financial promotions in respect of cryptoassets

The UK Financial Conduct Authority ("FCA") has published its near-final rules in relation to the regulation of financial promotions in respect of cryptoassets.

More

print-footer
logo
© Stephenson Harwood LLP 2016. Any reference to Stephenson Harwood in this document means Stephenson Harwood LLP and/or its affiliated undertakings. Any reference to a partner is used to refer to a member of Stephenson Harwood LLP.