12 December 2019 - Article
Harvey Knight
Partner | London
Harvey is a partner in the financial services regulatory team.
Harvey is an ex-regulator and heads our UK Financial Services Regulatory and UK White Collar Investigations teams.
For 6 years, Harvey worked in-house with the UK’s Financial Services Authority (FSA before it was split into the FCA and PRA) and advised the FSA’s Authorisation and Approvals function as well as the FSA and its senior management on reputationally contentious issues.
Since his return to private practice, Harvey has been consistently ranked as a Leading Individual in Chambers and Legal 500 for contentious financial services.
Harvey and our UK Financial Services Regulatory team’s work is centred on regulatory perimeter issues, regulatory permissions and approvals, regulatory supervisory issues and enforcement investigations involving the Financial Conduct Authority (FCA), the Prudential Regulatory Authority (PRA), the UK Listing Authority (UKLA), the Takeover Panel, the Institute of Chartered Accountants of England and Wales (IAEW) and the Payments Services Regulator (PSR), as well as civil and criminal cases involving the High Courts, the Serious Fraud Office (SFO), the National Crime Agency (NCA) and overseas regulators such as the SEC and NY Fed.
In leading our UK White Collar Investigations team, Harvey advises leading individuals, senior executives and owner-managers on how to handle their personal and corporate relationships in internal investigations and externally with other regulated firms and individuals, the regulators and other national and international civil and criminal enforcement agencies as well as any related potential national and international civil and criminal proceedings.
In the last decade Harvey has been responsible for the first successful judicial review of the FCA (which established the principle of joint legal privilege in regulatory investigations) , the first settlement with the PRA for a UK bank’s CEO and this year, the unprecedented overturning of a FCA ban of a senior banker, widely reported in the media.
Track record
Admissions
Publications
Memberships
Securing the first successful judicial review of the FSA and one of its own initiated enforcement investigations Ford, R (on the application of) v The Financial Services Authority [2011] EWHC 2583. His client was a Chief Executive against whose firm, Keydata Investment Services Limited the FSA had intervened on an unprecedented scale. Harvey has been involved in numerous subsequent cases involving such FSA/FCA intervention against the corporate entities involved.
Contesting regulatory proceedings to the Upper Tribunal and the Court of Appeal including the successful and unprecedented reversion of a FCA ban of a senior manager (Andrew Tinney v The Financial Conduct Authority [2019] UKUT 0227 (TCC).
Securing favourable settlements for senior executives in FCA and PRA enforcement proceedings as well as numerous successful non-routine FCA approval applications and FCA Supervisory resolutions.
England & Wales, 1993
‘Market Abuse and Insider Dealing’, Butterworths Corporate Law Service, chapter editor
Financial Services Lawyers Association
Education
Languages
- English
Dates
Joined
2011
Partner
2011
