He advises individuals and firms in relation to the scope of Financial Conduct Authority (‘FCA’) and Prudential Regulation Authority (‘PRA’) regulation; FCA Authorisation and non-routine FCA Approval applications for governing (CF1, CF2, CF3, CF4), significant management (CF29) and customer (CF30) controlled functions. He also advises those PRA and FCA individuals and firms already subject to the Senior Managers and Certification Regime, Senior Management Functions (‘SMFs’) and certification issues; FCA and PRA controller applications; FCA and PRA Supervision inquiries and investigations; FCA and PRA Enforcement investigations and proceedings; Upper Tribunal proceedings; judicial review proceedings; complaints and Freedom of Information requests; Financial Ombudsman Service (‘FOS’) complaints and proceedings; Financial Services Compensation Scheme (‘FSCS’) issues; Competition and Markets Authority (‘CMA’) investigations; Financial Reporting Council (‘FRC’) and Institute of Chartered Accountants in England and Wales (‘ICAEW’) investigations; Takeover Panel investigations; overseas regulators’ requests for assistance; any related Parliamentary Committee and/or internal investigations, UK and international criminal proceedings, civil proceedings, media and employment issues.
Before joining Withers, he worked for the Financial Services Authority (‘FSA’) for six years which gives him unique insight into the regulated world.
Whilst at the FSA, Harvey was the FSA’s lead authorisation and approvals lawyer as well as the FSA’s internal ‘trouble shooter’ advising its senior management in relation to legal and reputation management issues. His work including co-ordinating the FSA’s response to the various Equitable Life inquiries, threatened judicial review applications, complaints and Freedom of Information Act and subject access requests.
Prior to joining the FSA in 2001, Harvey specialised in contentious financial services for 10 years and his case load included BCCI, Barings, Lloyds litigation, professional indemnity litigation, board room disputes and failed share placements as well as regulatory investigations.