Co-Head of the Contentious Financial Services Group, London
Norton Rose Fulbright LLP
Related services and key industries
- Business ethics and anti-corruption
- 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.
She has extensive experience in advising clients on contentious regulatory matters, including internal and external investigations and enforcement proceedings involving a variety of regulators and other bodies including the FCA, PRA, Ofgem, FRC, SRA, SFO and HMRC, as well as Exchanges such as AIM and ICE. She has significant experience of advising on multi-jurisdictional and cross-sector investigations and disciplinary proceedings and on associated disputes including complex commerical and tax-related litigation.
Katie has twice been seconded to the Financial Conduct Authority as a legal advisor to its Regulatory Decisions Committee and has acted on a number of high profile cases, including market abuse and money laundering proceedings against firms and individuals. She has also conducted a wide range of internal investigations for financial institutions and corporates, including those prompted by whistleblowers, and regularly advises on the regulatory and cross-border implications of these and on matters such as regulatory notifications and the submission of suspicious activity reports to the NCA. She is praised by clients for her "investigatory talents" (Legal 500).
- 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
Publication | May 06, 2022
Publication | April 07, 2022
Publication | March 29, 2022
Webinar | March 09, 2022