Co-Head of the Contentious Financial Services Group, London
Norton Rose Fulbright LLP
Related services and key industries
- Financial services and regulation
- Litigation and disputes
- Regulation and investigations
- Securities litigation, regulation and enforcement
Key industry sectors
Katie Stephen is a financial services lawyer based in London.
Katie has over 25 years' experience of advising financial institutions during which she has acted on a wide range of contentious regulatory matters including investigations and enforcement proceedings involving the FCA, PRA, Ofgem, FRC, AIM, ICE, SRA, NCA and HMRC, as well as regulators in other jurisdictions. She regularly advises regulated firms, corporates and senior management on regulatory issues such as market abuse, market disclosures, money laundering, retail mis-selling, consumer credit, conflicts of interest, ESG, corporate governance, systems and controls, individual accountability and notifications.
Katie has extensive experience of supporting clients with skilled person (s.166) reviews and on the conduct of internal investigations including in relation to lessons learned reviews and the design and implementation of redress and remediation programmes. She has also advised the regulator on investigation and enforcement matters and twice been seconded to the FCA as legal adviser to its Regulatory Decisions Committee, the body charged with taking certain authorisation, supervision and enforcement decisions on behalf of the regulator. This has given her a rare and detailed insight into its approach and the enforcement process. Katie is praised by clients as 'an absolute doyen of the FS regulatory arena, with a well-deserved reputation for excellence.' (Legal 500 UK).
Professional experienceExpand all Collapse all
- Solicitor, qualified in England & Wales
Production of information to the authorities - Global Investigations Review - The Practitioner's Guide to Global Investigations, 2021
Publication | Date March 2021
Beneficial ownership registers: Regulation Around the World
Publication | March 23, 2023
Ten key steps to reduce the risk of a greenwashing regulatory enquiry
Publication | March 09, 2023
Unannounced Visits (“Dawn Raids”): Key practical steps for firms
Publication | March 01, 2023