Adam Jamieson

Adam specialises in advising financial services firms, listed companies and senior individuals involved in internal and regulatory investigations.

Adam has significant experience of representing clients in regulatory enforcement investigations conducted by the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).

Adam previously spent a year on secondment to the FCA’s Enforcement & Market Oversight Division.

During his time at the FCA, Adam worked as an investigator on FCA and PRA investigations into both firms and individuals.

Adam has particular experience of investigations relating to: AML and MLRO responsibilities; misleading or failure to notify regulators; whistleblowing; treating customers fairly; shareholder influence; compliance with the listing rules; exchange of commercially sensitive information; the client money rules; transaction reporting; control of inside information and conflicts of interest; capital requirements; oversight of outsourcing arrangements and appointed representatives; culture; and non-financial misconduct.

Adam frequently acts for clients in responding to Section 166 FSMA skilled person reviews, thematic reviews and supervisory visits.

He also regularly advises clients on the Senior Managers and Certification Regime, fit and proper assessments, Conduct Rule breach assessments, regulatory notification obligations and complaints handling issues.

Adam has undertaken secondments to both a leading asset management firm and a global insurance company.

He is a member of the Financial Services Lawyers Association and regularly contributes to industry publications on legal and regulatory issues.