Financial Regulatory

In 2008 Emma attained a Diploma in Investment Compliance from the Securities and Investments Institute. Through this she has a thorough knowledge of Financial Conduct Authority (FCA) regulation, the provisions of the Financial Services and Markets Act 2000 (FSMA), Conduct of Business Rules, market abuse, Money Laundering Regulations, the Takeover and Mergers Code and related provisions under the Companies Act.

Emma is working on a FCA regulatory investigation.

She undertook a six month secondment in 2008 at the Accountancy and Actuarial Discipline Board (part of the Financial Reporting Council) and worked exclusively on their investigation into Deloitte & Touche in respect of certain audit and non-audit services provided to MG Rover.

Emma has co-written published articles on regulatory matters, including insider dealing and FSA action to combat boiler room fraud. She has also assisted in drafting a chapter of a Handbook for Money Laundering Reporting Officers.