Ellen has acted in connection with high profile regulatory and criminal investigations in the financial services sector. She also has experience of conducting internal and regulatory investigations.
Ellen's previous work relating to FCA proceedings includes: acting for an investment bank in a market abuse investigation; representing the former CEO of the investment arm of a global bank facing allegations relating to systems and controls failings; and representing a senior trader in relation to allegations of manipulation of the gilts market. She has also acted for clients in relation to investigations by authorities in a number of overseas jurisdictions, including the US Department of Justice and FBI, the Guernsey Financial Services Commission and the Australian Securities and Investments Commission.
Other work has included: advising international trading companies and financial services firms in relation to bribery and corruption; advising a professional standards body in relation to disciplinary procedures; advising on corporate governance and systems and controls; acting for a financial services firm in connection with a criminal fraud investigation; and conducting an internal investigation into suspicions of insider dealing by a non-executive director.
Ellen recently led a team conducting a wide-ranging investigation into the collapse of a Gibraltar insurance company pursuant to the appointment of statutory inspectors by the Gibraltar Financial Services Commission.