Biography
I help clients who work in the financial services sector (including pensions and insurance) to sort out issues that may keep them up at night. That may be with regard to regulatory compliance, relationships with regulator (s), problems with insurers, disputes with third parties (e.g customers or counterparties) or with cyber-attacks/data breaches.
Key Highlights
- Advising an IFA client on an employee data breach/theft issue, including management of the regulatory relationship with the FCA and the ICO, handling related insurance issues and bringing a claim against the employee for breach of the contract of employment.
- Assisting clients on transactional commercial insurance issues (warranty & indemnity, cyber, directors & officers' liability and professional indemnity) on acquisitions and disposals, including coverage issues, the fair presentation duty and negotiating policy wording with insurers.
- Acting for the trustees of a defined benefit pension scheme with regard to the resolution of scheme funding issues, related investigations by The Pensions Regulator and relationships with the PPF.
- Representing an energy broker client on PI insurance policy coverage issues, and a possible broker’s E&O claim, following on from a claim for negligence by a customer in relation to advice on the procurement and management of energy.
- Advising European real estate businesses on AML issues and claims against UK and Polish based banks arising out an authorised push payment fraud and complaints before the Financial Ombudsman Service.
- Assisting clients across a number of sectors on FCA compliance related issues, such as authorisation for business activities, change of control applications, consumer credit, conduct of business, payment services, collective investment schemes, SM&CR, appointed representatives and enforcement related issues.
- Advising clients on pensions auto enrolment issues on corporate transactions, regulatory relationships with TPR and issues arising out of failure to comply with AE obligations, in particular pursuing professional negligence claims against advisers who dealt with payroll issues.
- Representing financial services sector clients in investigations and disciplinary action by domestic and international regulators including the FCA, the FRC and the DFSA.
Testimonials
Garon has been ranked by both the Legal 500 (West Midlands’ commercial litigation/banking litigation) and Chambers (West Midlands’ commercial litigation) legal directories since 2012.
Legal 500 says that ‘First-class lawyer’ Garon Anthony is “very supportive of clients’ businesses and understands the complexities of their companies – he is very capable and quick to respond”.
“Garon Anthony has a broad practice encompassing breach of contract claims, shareholder litigation and post-acquisition disputes. According to a client, litigation can be difficult to understand but Garon explains things in an easy way, pointing out the major issues and which of them you should pursue in order to be successful on a case”. - Chambers and Partners
