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Philip Annett

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Philip Annett is a partner based in Baker McKenzie’s London office focussing on complex investigations, litigation and compliance matters. He has an in-depth knowledge of working with UK and international regulators and enforcement agencies, having previously been a senior lawyer in the Enforcement Division at the Financial Conduct Authority (FCA) where he led some of the regulator's highest-profile enforcement cases. He also previously worked in the Bribery and Corruption Division at the Serious Fraud Office. Philip advises clients on complex investigations, litigation, regulatory and compliance matters, often with cross-border aspects. He has particular experience in the financial services, EMI, technology and healthcare sectors in a wide range of complex, high-value regulatory/compliance matters, investigations and litigation, both domestically and cross-border.
In Financial Conduct Authority

United Kingdom: Recent FCA enforcement action – Key takeaways for compliance officers

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In brief On 13 February 2024, the FCA issued a Final Notice to Floris Jakobus Huisamen, the former director and compliance officer of London Capital & Finance plc (LCF), fining him GBP 31,800 and banning him from working in financial services in relation to misconduct connected to financial promotions issued by LCF. This Final Notice follows the FCA’s previous censure of LCF in October 2023 for connected behaviour. In this alert we draw out the key takeaways that compliance…