Joe Smallshaw

Counsel
Norton Rose Fulbright LLP

London
United Kingdom
T:+44 20 7444 5556
London
United Kingdom
T:+44 20 7444 5556
Joe Smallshaw

Joe Smallshaw

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Biography

Joe Smallshaw is a financial services regulation lawyer based in London. He focuses his practice on contentious matters, primarily investigations by financial regulators.

Joe advises on all aspects of contentious regulatory matters and has particular experience in FCA enforcement investigations in both the retail and wholesale markets. He has represented clients in FCA investigations into potential breaches of the FCA's Principles for Business including Principle 2 (skill, care and diligence), Principle 3 (management and control), Principle 6 (treating customers fairly) and Principle 7 (communications with clients), and in respect of different areas of the FCA's Handbook including SYSC, COBS, MCOB, ICOBS and CONC. Joe also has experience in conducting investigations in relation to market abuse.

Joe has extensive experience in Skilled Person reviews conducted under s166 of the Financial Services and Markets Act and has also represented clients in respect of hearings conducted by the FCA's Regulatory Decisions Committee. He has conducted a number of internal investigations for financial institutions and has experience in dealing with regulators in other jurisdictions.

Joe also has significant experience in general dispute resolution. He has represented clients in High Court litigation in financial, media and energy sectors and has also resolved disputes through mediation.

Joe has completed secondments at two international banks and his clients include financial institutions based in the UK and in other jurisdictions.


Professional experience

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Advising:

  • An international bank - in relation to an internal investigation into potential fraud, including responding to enquiries from the FCA.
  • A multinational corporate - in relation to enquiries from the FCA in respect of ESG-related disclosures in its annual reports.
  • A financial institution - in an investigation by ICE into potential breaches of its Trading Regulations. 
  • An individual - in an investigation by Ofgem in respect of alleged market manipulation in the electricity market. 
  • A financial institution - in respect of potential breaches of a restraint order, including reporting to the FCA and the NCA.