Practice & Background

Helen Marshall has an extensive knowledge of the U.K. regulatory system, and is recognized by Chambers UK for her "formidable technical knowledge, excellent strategic and tactical approach to matters and strong client relationships with clear and effective communication and representation." She is particularly appreciated by clients for her "direct and no-nonsense style" in dealing with the regulators and is referred to as a “very tenacious, effective advocate”. Her nine-year career at the Financial Services Authority (FSA) is described in Chambers as furnishing her with “an invaluable insight into the regulator’s stance.” Ms. Marshall held a number of senior roles at the FSA, including Head of Enforcement Law and Policy and Head of Forensic Investigation. She had particular responsibility for investigations in the fund management and broking sector, and was responsible for a number of major disciplinary cases brought against financial institutions and individuals. Legal 500 praises Ms. Marshall for her “good judgment” and states that her “straight talking style is a refreshing change” She is also listed as a leading lawyer in IFLR 1000 and was named to Global Investigations Review’s Top 100 Women in Investigations 2015. In 2016, Ms. Marshall was named Best in Financial Regulation at the Euromoney Legal Media Group Europe Women in Business Law Awards.

Ms. Marshall advises clients on U.K. financial regulatory matters; in particular, on regulatory investigations and enforcement proceedings and on their dealings with the Financial Conduct Authority (FCA) and Prudential Regulation Authority (PRA). Thanks to her time as a head of enforcement at the FSA, Helen has an excellent knowledge of regulatory investigations and enforcement.

Ms. Marshall provides assistance to her clients in a number of areas, including:

  • FCA and PRA compliance issues
  • authorisations and approvals
  • information requests
  • FCA thematic reviews
  • interviews
  • FCA investigations and enforcement
  • Regulatory Decisions Committee Hearings
  • Upper Tribunal Hearings.

Ms. Marshall helps clients to implement effective strategies to meet regulatory requirements and anticipate future obligations. She is also able to assist clients in forging a positive and cooperative relationship with the relevant regulator, working with clients to ensure that they are well-positioned to engage with the FCA and/or the PRA.

Ms. Marshall has acted on a wide range of regulatory investigations, enforcement and disciplinary proceedings. She is a contributor to Butterworths Financial Regulation Service, a member of The Times Law Panel, a contributor to Complinet’s Compliance Handbook, co-author of Blackstone’s Guide to the Financial Services and Markets Act, and is a regular speaker on financial services regulatory matters.

Public Service

Ms. Marshall was an independent member of the City of London Police Committee for eight years between 2009-2017. Her role was one of strategic oversight of the City of London Police force.

Awards & Accolades

  • Chambers UK, “Leaders in Their Field,” Financial Services: Contentious Regulatory
  • Legal 500, Financial Services Regulatory: Contentious
  • IFLR 1000, Financial Services Regulatory: Contentious
  • Best Lawyers UK, Financial Services
  • Legal Experts, Financial Services
  • Euromoney Legal Media Group Europe Women in Business Law Awards: Best in Financial Regulation
  • Euromoney's Expert Guides: Women in Business Law, Banking & Finance, UK
  • Global Investigations Review, Top 100 Women in Investigations 2015