Katie Stephen

Information about the specialist

Practice Areas

Katie Stephen is a financial services lawyer based in London.

Katie has over 25 years' experience of advising financial institutions during which she has acted on a wide range of contentious regulatory matters including investigations and enforcement proceedings involving the FCA, PRA, Ofgem, FRC, AIM, ICE, SRA, NCA and HMRC, as well as regulators in other jurisdictions. She regularly advises regulated firms, corporates and senior management on regulatory issues such as market abuse, market disclosures, money laundering, retail mis-selling, consumer credit, conflicts of interest, ESG, corporate governance, systems and controls, individual accountability and notifications.

Katie has extensive experience of supporting clients with skilled person (s.166) reviews and on the conduct of internal investigations including in relation to lessons learned reviews and the design and implementation of redress and remediation programmes. She has also advised the regulator on investigation and enforcement matters and twice been seconded to the FCA as legal adviser to its Regulatory Decisions Committee, the body charged with taking certain authorisation, supervision and enforcement decisions on behalf of the regulator. This has given her a rare and detailed insight into its approach and the enforcement process. Katie is praised by clients as 'an absolute doyen of the FS regulatory arena, with a well-deserved reputation for excellence.' (Legal 500 UK).