Emma Sutcliffe

Partner

London

T +44 20 7825 4250
M +44 7894 836 311
emma.sutcliffe@simmons-simmons.com

General Experience

Emma is a partner within the financial markets litigation group of our international dispute resolution department. She has acted on a range of major investment banking disputes on both the financial markets and retail banking side and is a leading partner in the contentious regulatory practice. In particular, Emma has extensive experience of contentious financial services work, including regulatory investigation and enforcement (including from time spent on secondment to the FCA). Emma has advised multiple clients on conduct risk queries including assessment of conduct rule breaches and fitness and propriety, regulatory reporting requirements and regulatory references. Emma also frequently advises on the implications of the changes to firms introduced by the Senior Manager & Certification Regime.

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Recent Work
  • advising a major investment bank on FCA and PRA investigations into whistleblowing policies and procedures and the role of the CEO in tracing the identity of an anonymous whistleblower
  • acting for a firm in relation to an FCA investigation into insider dealing resulting in a successful termination of the case against the firm and individual
  • acting for and advising a global investment bank on an investigation into allegations of serious financial and non-financial misconduct by a senior individual within the firm
  • advising an international investment bank on the restructuring of their whistleblowing framework, policies and procedures
  • advising a global bank on an investigation into matters arising out of whistleblowing on culture and conduct risk matters
  • acting for and advising a leading global bank on a complex internal investigation into rate-setting
  • advising a major asset manager in relation to derivative actions in the U.S. Jersey, Guernsey and London
  • acting for and advising a leading global bank on an internal investigation relating to multiple potential breaches of internal and regulatory policies.
Background

Emma joined Simmons & Simmons as an associate in March 2005 from the litigation department of a leading international law firm in London, where she also spent six months in their Hong Kong office. Emma has worked within the litigation and regulatory teams of two major investment banks and spent a year on secondment to the FCA as a lead investigator. Emma became a partner in the financial markets litigation group in 2015.

Emma speaks regularly at conferences and in seminars to clients and is responsible for numerous publications including in the CDR, Compliance Complinet and AIMA journal. She works closely with clients and wider industry bodies in responding to FCA Discussion and Consultation Papers to lobby for changes in law and procedure across a range of contentious regulatory issues.