Tony Katz is a leading financial services regulatory partner who advises on strategic regulatory matters, investigations and enforcement actions. He advises banks, asset managers, insurers, fintechs and other financial institutions on their most significant regulatory, governance and compliance challenges, regularly acting in matters involving the FCA, PRA, ECB and other regulators across the UK, Europe, the US and Asia. Drawing on experience as a former regulator, global head of compliance and private practice partner, Tony combines technical expertise with practical commercial insight. He is unique in the market being an expert in both advisory and contentious regulatory high-profile matters. He is recognised for helping clients navigate complex investigations, contentious regulatory proceedings, major corporate transactions and transformational regulatory change.
Tony has broad experience of advising on regulatory change and significant corporate transactions. He has recently led a number of significant reorganisations, acquisitions and mergers for international and UK banks, funds, private equity sponsors and global corporates. He advises leading FS institutions on key regulatory areas including prudential regulation, governance and accountability, Consumer Duty, operational resilience, outsourcing and third-party risk management, digital assets and fintech, wholesale markets regulation, investment management regulation and cross-border regulatory change.
In his investigations practice he has carried out some of the most complex and sensitive investigations. He represented a European bank in proceedings commenced by the European Central Bank (ECB) for the withdrawal of the bank's licence based upon the ECB's loss of confidence in the bank's business model, and governance, systems and controls AML failures. He has also conducted multiple independent reviews for a leading UK bank, and fraud, bribery and ethics investigations for global corporates.
Prior to joining DLA Piper, Tony served as a manager at the UK financial regulator and as global head of compliance for an international financial services group. Drawing on experience as a former regulator, global head of compliance and private practice partner, Tony combines technical expertise with practical commercial insight. He has acted as an FCA-appointed skilled person on conduct of business issues.
Tony is regularly sought out by boards, senior executives and compliance leaders for advice on regulatory investigations, governance issues and significant business change projects. He is a frequent speaker on financial services regulatory developments and industry reform initiatives.
