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, culture and conduct, 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 ranked as a Leading Individual by The Legal 500 and provides “a very commercial service.” He is acclaimed by clients as “a great tactician and strategist: he sees the traps and helps you steer your way around them, while always retaining an invaluable sense of perspective.”
Publications and Lectures
Mr. Berman has recently authored books entitled Market Conduct for Investment Managers – A Practical Guide, Thomson Reuters, 2019; Senior Individual Accountability in the Financial Services Arena – A Practical Guide, Thomson Reuters, 2017; Individual Accountability Under the Senior Managers Regime - A Practical Guide, Thomson Reuters, 2016; and Senior Individual Accountability in the UK Financial Services Regulatory Environment – A Practical Guide, Thomson Reuters, 2014.
Most recently, Mr. Berman has written Culture: A Practical Framework for Sustainable Change.
Mr. Berman has also authored numerous articles and blogs on key areas of regulatory focus – including, market conduct, culture, and individual accountability. He is consulted extensively by industry bodies for his specialist knowledge, insight, and prior in-house experience and is frequently quoted as a leading regulatory authority in the mainstream press and industry journals.