Adam previously spent a year on secondment to the FCA’s Enforcement & Market Oversight Division. During his time at the FCA, Adam worked as an investigator on FCA and PRA investigations into both firms and individuals. He has particular experience of investigations relating to: AML and MLRO responsibilities; misleading or failure to notify regulators; whistleblowing; treating customers fairly; shareholder influence; compliance with the listing rules; exchange of commercially sensitive information; the client money rules; transaction reporting; control of inside information and conflicts of interest; capital requirements; oversight of outsourcing arrangements and appointed representatives; culture; and non-financial misconduct.