Firm also honored as finalists in the International Arbitration and CSR categories.
David Berman advises a range of financial institutions on key regulatory/compliance matters and investigations, and frequently counsels boards and senior management teams on significant regulatory issues. Mr. Berman specializes in tactical/strategic issue prevention, containment, and resolution – and has an outstanding track-record of achieving optimal outcomes for clients. Mr. Berman advises extensively on a wide spectrum of issues, including market conduct, whistle blows, culture and conduct, regulatory compliance, risk management, systems and controls, internal investigations, individual accountability, governance, conflicts of interest, inducements, regulatory aspects of transactions, remediation and redress exercises, and conduct of business regulation generally.
Mr. Berman has significant experience of acting as a “skilled person” under Section 166 FSMA 2000.
Mr. Berman is often consulted, as a subject-matter expert by industry bodies and regulators. David is a frequent speaker at financial sector seminars and events. He is consulted extensively by industry bodies for his specialist knowledge, insight, and prior in-house experience.
Mr. Berman has recently authored books entitled:
- Market Conduct for Investment Managers – A Practical Guide, Thomson Reuters, Second Edition 2022
- Culture: A Practical Framework for Sustainable Change, Latham & Watkins, Fourth Edition 2022
- Senior Individual Accountability in the Financial Services Arena – A Practical Guide, Thomson Reuters, Second Edition 2017