Alison McHaffie

Alison McHaffie is a partner in the Financial Services and Products Team specialising in all types of contentious regulatory and governance matters.

She qualified at CMS in 1995 and has over 25 years of experience of advising financial institutions and their senior management on these issues.

Alison has an in-depth understanding of how the regulators approach investigations and in successfully helping clients manage significant regulatory issues and remediation projects without regulatory intervention.

Her experience covers a wide range of issues including retail mis-selling, governance, senior management responsibility and conduct rule breaches, conduct and operational risk, conflicts of interest, market abuse, client money, financial crime, complaints handling, lending, and financial crime controls.

Alison acts for banks, insurers, fund managers, financial advisers, mortgage lenders, brokers, listed companies and consumer credit firms. She advises firms on dealing with regulatory notifications, regulatory investigations and enforcement actions brought by the FCA, PRA and their predecessors, past business reviews, redress projects, s.166 Skilled Person appointments, complaints before the Financial Ombudsman Service and handling FCA/PRA supervisory action and thematic visits. In 1998 she was seconded to the Enforcement Division of the FSA.

Alison is individually recognised for her expertise in the Legal Directories. She regularly contributes articles to financial services publications, provides training to firm’s boards and senior management and speaks at seminars.