Romin Dabir#13214

Romin Dabir

Partner, Reed Smith
Romin Dabir is a partner in Reed Smith’s Financial Industry Group and has experience of advising clients on a wide range of financial regulatory issues on both the sell-side and the buy-side. Areas of focus include interpretation of the Financial Services and Markets Act 2000 (and its underlying legislation), regulatory perimeter issues, governance, market abuse, conduct of business, marketing and distribution requirements.
Contributed to

1

FCA and PRA enforcement essentials—preventing a referral to enforcement
FCA and PRA enforcement essentials—preventing a referral to enforcement
Practice Notes

This Practice Note considers how firms can prevent a potential regulatory breach from escalating to a serious issue subject to FCA and/or PRA enforcement. It considers the risks for firms and senior managers of not notifying or reporting a breach to the regulator. It sets out the practical considerations for firms on discovering a breach, including: planning and strategy in relation to internal investigations; dealing with individual misconduct; securing evidence; the role of senior managers when a breach occurs; notifications to the market under LR 9.2; informing other parties of a breach such as insurers and auditors; publicity and public relations (PR) strategy; and further consequences of breaches such as civil proceedings and interest from other regulators.

Practice Area

Panel

  • Contributing Author

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