Chris Chapman is a partner in Mayer Brown’s global Financial Services Regulatory & Enforcement and Litigation & Dispute Resolution practices and is based in London.
Chris advises banks, insurers, other financial institutions and their senior managers on contentious and non-contentious regulatory issues under UK and EU law, including internal and external investigations and domestic and cross-border transactions and matters involving regulatory and law enforcement authorities, such as the Financial Conduct Authority and the Prudential Regulation Authority. He also represents financial institutions in litigation and arbitration disputes. He was previously head of contentious insurance regulation at another large international law firm.
Including experience prior to joining Mayer Brown:
Investigations and enforcement
- Advising a major international investment bank on a global market abuse and antitrust investigation.
- Advising a major international investment bank on an insider dealing investigation.
- Advising a major international insurance firm on a market-leading FCA enforcement investigation into bribery and corruption issues.
- Advising a major international insurance firm on an FCA enforcement investigation in the life insurance, pensions and retirement and asset management sectors.
- Advising a major retail insurance firm and its CEO on an FCA enforcement investigation relating to governance, systems and controls, misselling and complaints handling.
Advising a major international investment bank on an international tax fraud investigation.
- Advising a major international investment bank on an internal investigation into bribery and corruption issues.
- Advising a consumer credit provider on a judicial review of the Financial Ombudsman’s service relating to an industry wide approach to redress for missold financial products
- Advising insurers and banks on various mass consumer liability exposures arising out of regulatory issues and strategies and schemes for dealing with them.
- Advising various financial services firms on regulatory investigations and exposures relating to payment protection insurance.
Litigation and arbitration
- Advising on follow on litigation and liability issues arising from regulatory investigations and enforcement actions, in particular in the UK and (working with US colleagues) in the US.
- Advising various major international investment banks on a series of civil, administrative and criminal court actions and investigations in the UK and Europe relating to derivative contracts with European local authorities.
- Advising a major international investment bank on a high value claim by European Sovereign State relating to derivative transactions and primary dealer obligations.
- Managing a portfolio of swaps litigation in the UK for a major retail bank.
- Advising on various disputes under sale and purchase agreements, in particular relating to liabilities to retail financial services customers.
- Advising consumer credit lenders on judicial reviews of the UK Financial Ombudsman Service relating to payment protection insurance.
- Advising a pensions firm on a potential judicial review of the Financial Ombudsman Service relating to a portfolio of customer claims.
- Advising on various international arbitrations, involving different rules and jurisdictions, in particular on behalf of financial institutions and in the telecommunications sector.
- Acting for the British Bankers Association and a series of banks on a leading payment protection insurance judicial review, BBA v FSA and FOS  EWHC 999 (Admin).
Non-contentious regulatory advice
- Various engagements advising on UK and EU pass-porting, authorization and licensing requirements.
- Various engagements advising on compliance with UK senior persons regimes.
- Advising on regulatory notifications and communications, including under Principle 11, and in the context of cross-border issues involving notifications to multiple regulators in different jurisdictions.
- Advising on client money issues, including related risks in an insolvency context.
- Advising on compliance with the FCA’ guidance on outsourcing and managing related regulatory exposures.
- Advising on the UK ring-fencing regime for retail banks.
- Advising on various aspects of the EU UCITS regime.
- Advising on regulatory trends and emerging risks.
Victoria University of Wellington, LLB, First Class Honors
Victoria University of Wellington, BA
- England and Wales
- New Zealand