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Oliver Assersohn

Oliver Assersohn

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Oliver Assersohn is a commercial and regulatory barrister specialising in banking and financial services and is recommended by the foremost independent legal directories including by Chambers & Partners 2016 in Band 1 (non-QC’s) for financial services. Chambers & Partners write: “A financial services and banking specialist who has a wealth of expertise in the area. He has a broad chancery and commercial practice…He is incredibly diligent and hard-working, and continues to impress with his technical knowledge.”

The majority of Oliver’s commercial work has a banking or financial services angle to it and he has acted for institutions, funds, family offices and individuals. In addition to an analysis of the contractual, equitable and common-law position Oliver is able to bring to bear his detailed knowledge of the Financial Services and Markets Act (2000), the regulatory regime more generally and the impact of the FCA rules on a civil claim. Oliver also has undertaken a number of non-financial services related commercial cases for negligence, breach of contract as well as being instructed in interlocutory applications and jurisdictional issues with particular experience of forum non conveniens applications.

As to his regulatory work, examples of previous quotes from clients that have been included in the directory are: “Understands how the regulator lives and breathes” and “Very bright, exceptionally hardworking, personable and very practical. He really understands the FCA’s enforcement process.” Oliver was previously seconded to the Regulatory Decisions Committee of the FSA (which decides contested enforcement decisions) and advised the FSA in a number of cases as well as having been instructed by the enforcement division (so far as he knows he is one of only two barristers in private practice to have been embedded in the RDC in this way). Oliver has acted for individuals and institutions subject to investigation by the FCA. He has extensive experience of market abuse and insider dealing issues (for example he acted for the FSA as junior counsel in the first FSA initiated prosecution for insider trading (both defendants were convicted) and subsequently acted as junior counsel for one of the defendants in the first FSA initiated prosecution for insider trading to end in acquittals). He is the editor of the Decision Procedure and Penalties Manual Commentary in Butterworths Financial Regulation Service.

Some sample cases are cited under the relevant tabs below.

Oliver is regularly requested to give talks to leading law firms and has written on a number of financial services and legal issues (see “Publications” below).

Publications

  • Published a variety of articles in numerous publications on financial services and banking matters and gave talks on current issues to solicitors and clients.
  • Editor of the Decision Procedure and Penalties Manual Commentary in Butterworths Financial Regulation Service (c. 40,000 words) (published March 2015).

Financial Services

Regulatory cases (for civil claims please see “banking ” and “commercial and chancery ” tabs):

W v FCA

Acted for brokerage subject to FCA enforcement action.

X v FCA

Acting for individual subject to FCA enforcement investigation.

Y v FCA

Recently acted for individual applying to lift a prohibition order on an individual.

Z v A Bank

Advising compliance officer of a major global financial institution in respect of her whistleblowing and subseqient disciplinary proceedings in context of wider regulatory investigation.

RDC
After secondment to the Regulatory Decisions Committee of the FSA, continued to advise the Committee in a variety of cases. For example, he advised the Committee in FSA v (1) Visser (2) Fagbulu in which a ban and £2.1m fine were imposed on a hedge fund chief executive and chief financial officer for deceiving investors and market abuse.

Appointments & Memberships

  • FSLA (Founding Member)
  • COMBAR

Awards

  • Queen Mother Fund Scholarship (2002)
  • Blackstone Entrance Exhibition (2002)
  • Queen Mother Fund Scholarship (2001)

Areas of Law


Recommendations


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Testimonials


“An effective advocate. Knowledgeable, punchy and not overly aggressive.” Financial Services, Chambers & Partners 2018

“Very good for fraud and financial regulatory investigations.” Financial Services, Legal 500 2017

“He is instructed on complex financial services-related matters.” Business and Regulatory Crime, Legal 500 2017

“Highly rated for banking and financial services disputes.” Banking and Finance, Legal 500 2017

“His written work is always excellent, he provides clear and practical advice and he deals with clients in a very empathetic manner.” Financial Services, Chambers & Partners 2017

“Technically bright, hardworking, a team player and approachable.” Business and Regulatory Crime, Legal 500 2016 

“A truly excellent barrister, who knows the ins and outs of FCA regulations.” Banking and Finance, Legal 500 2016

“A financial services and banking specialist who has a wealth of expertise in the area. He has a broad chancery and commercial practice…He is incredibly diligent and hard-working, and continues to impress with his technical knowledge.” Chambers & Partners 2016

“He has a very innate feel for the regulators’ expectations and is very good at the detail. He understands the issues and is very diligent and analytical.” Chambers & Partners 2016

“Very bright, exceptionally hardworking, personable and very practical. He really understands the FCA’s enforcement process.” Chambers & Partners 2015

“He is calm, knowledgeable, diligent and keen to assist. A pleasure to work with.” Chambers & Partners 2015

“Extremely well regarded for financial services and FCA regulatory issues.” Legal 500 2015

“The barrister to go to with challenging issues.” Legal 500 2015

“An absolute delight to work with.” Chambers & Partners 2014

“Highly experienced in regulatory and FCA related matters.” Legal 500 2014

“A financial services specialist.” Legal 500 2014

“First rate.” Chambers & Partners 2013

“An enviable reputation as a leading junior in financial services law.” Chambers & Partners 2012

“The ‘knowledgeable, calm and authoritative’ Oliver Assersohn is recommended for contentious financial services work, where ‘his experience is almost unique’.” Legal 500 2012

“Highly diligent.” Chambers & Partners 2011

“Invaluable knowledge of the FSA disciplinary process.” Legal 500 2011

“Understands how the regulator lives and breathes.” Chambers & Partners 2010

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