Tony Katz focuses on regulatory work for financial institutions and global investigations. He has over 25 years’ experience of advising banks, fund managers, insurers, fintechs and other financial institutions on UK and international regulatory issues and regularly acts on high profile matters involving the FCA, PRA and other global regulators.

He has significant experience in contentious matters, including regulatory and exchange investigations in the UK, the EU, the US and Asia, and is recognised for achieving great results for his clients in their most important and complex proceedings.

Tony has broad experience of advising on regulatory change and significant corporate transactions. He recently led the instruction for UK Finance (the leading trade association for the UK banking and financial services sector) to support them (and their members) in responding to the FCA Consumer Duty consultation, which is due to have far-reaching consequences for the industry. He has recently led a number of re-organisations and mergers for international and UK banks.

In his investigations practice he has carried out some of the most complex and sensitive investigations. He represented a European bank in proceedings commenced by the European Central Bank (ECB) for the withdrawal of the bank's licence based upon the ECB's loss of confidence in the bank's business model, and governance, systems and controls AML failures. He has also conducted multiple independent reviews for a leading UK bank, and fraud, bribery and ethics investigations for a global retailer.

Tony was formerly a partner in the Litigation practice of a US based international law firm, a manager at the UK financial regulator and a former global head of compliance at a financial services group. He has acted as an FCA-appointed skilled person on conduct of business issues.

Tony combines perspectives from in-house, the regulator and private practice, to give clients a clear and practical understanding of the market.

Exchange - International: Financial Services Regulation Newsletter

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