Pragesh Sivaguru focuses on financial regulatory and investigations, covering advisory, transactional and contentious matters. His clients include leading financial institutions, banks, funds, brokers, trading firms, payment services and other financial services firms, covering a range of financial services sectors.
- Whistleblowing Internal investigation for a multi-jurisdiction bank, concerning two whistleblowers’ and over 15 terms of reference.
- Complaints & whistleblowing advice for a Development Finance Institution’s.
- SMCR advice for a global international bank, following the collapse of a hedge fund.
- Internal investigation advised on the findings of an internal investigation for an appointed representative, considering principal and FCA related considerations in relation to misleading the market allegations.
- Advised a client in relation to a small-registered AIFM application and investment memorandum updates for a crypto-currency and blockchain Alternative Investment Fund.
- Brexit advice working with Legal, Compliance, Credit, Propositions and other subject matter resources to create a new entity’s target operating model and engage with the FCA for the authorisation of a third country bank branch.
- Regulatory due diligence exercises (buy-side): in relation to FCA and/or PRA regulated target firms or ABC matters.
- Cambridge University, B.A, 2014
- 2018 to 2022, Solicitor, London based international law firm.
- Social Mobility Foundation Mentor
Memberships And Affiliations
- Financial Services Lawyers Association
My latest insights
UK: Latest actions against corruption and financial crime by Parliament and the regulators
13 April 2023 .5 minute read
Consumer Duty Implementation Plans: FCA highlights areas of focus for firms
30 January 2023 .4 minute read