Bevan Brittan - People

Head of Financial Services Regulation

Harvey is an expert in financial services regulation.

My Background
Trained Simmons & Simmons. Qualified 1993. Simmons & Simmons 1993-1994; Reynolds Porter Chamberlain 1994-1997; Lovells 1997-2001; Financial Services Authority 2001-2007.

What I do
For six years I was the FSA's 'trouble shooter, advising its senior management across the whole gamut of its authorisation, supervision and enforcement activities. I joined Bevan Brittan in June 2007 to head the firm's financial services regulatory practice.

Some examples
Since joining Bevan Brittan to advise clients in relation to the FSA's move towards a more principles based form of regulation and more generally the handling of the regulatory interface and related relationships, amongst other things, I have advised:

a mortgage lender in relation to a FSA Enforcement investigation;
a product provider in relation to a group action by a number of IFAs in the wake of the decision in Seymour v Ockwell for contributory negligence in the distribution chain;
a distributor in relation to its and a product provider's respective responsibilities in the distribution chain for redressing the consumer detriment of affected consumers;
a distributor in relation to the potential impact of the FSA's Retail Distribution Review on its business model;
a distributor in relation to the position of the Financial Ombudsman Service as to whether a consumer's complaint could be time barred;
a regulated firm (and the High Court) in relation to seeking guidance from the FSA as to what should be done about the discovery of another regulated firm's confidential client data on an ex-employee's computer;
an EEA bank in relation to its FSA compliance obligations under its passported permission and the inter-relationship with its home state regulatory obligations;
the partnership of a securities and futures firm in relation to its FSA authorisation application and the revision of the draft compliance manuals to reflect the implementation of the Markets in Financial Instruments Directive;
a professional services firm in relation to their money laundering obligations in the wake of the implementation of the Third Money Laundering Directive; and
a leading new homes builder as to whether one of its prospective offers came within the scope of the FSA's regulated activities and if so, what would be the requirements of being FSA authorised.

Contact me via email harvey.knight@bevanbrittan.com or on 0870 194 7959.

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