Rosemarie Paul specializes in UK financial regulatory matters, with a particular focus on regulatory investigations and enforcement proceedings involving the Financial Conduct Authority (FCA) and the Prudential Regulation Authority (PRA).

Rosemarie joined Ropes & Gray's Litigation and Enforcement practice in 2018 from the London office of another international firm. Prior to returning to private practice in 2012 she was a member of the Enforcement and Financial Crime Department at the Financial Services Authority (FSA), where she provided legal advice to the investigatory teams within the Enforcement Division, led cases through Decision Committee and Upper Tribunal hearings and advised on applications for authorization and approval of senior individuals.

Rosemarie has a detailed understanding of the regulators' supervisory and enforcement process. She assists clients in anticipating and addressing issues that arise under the UK regulatory framework and is able to identify how the FCA and PRA regulatory requirements will affect her clients. She is also experienced in cross border investigations.

Rosemarie provides assistance to her clients in a number of areas, including:

FCA/PRA investigations and enforcement
Regulatory Decisions Committee Hearings
Upper Tribunal Hearings
Interviews
FCA thematic reviews
Information requests
Cross border investigations

Rosemarie’s first-hand experience at the FSA gives her an excellent insight into the way enforcement proceedings are conducted. Thus, she is able to provide clients with practical, realistic and effective advice in dealing with and managing regulatory investigations as well as compliance implementation projects such as the Senior Managers & Certification Regime. Rosemarie works closely with the Ropes & Gray Data and Cybersecurity practice, advising on issues of operational resilience for financial services firms, and is a member of the AIMA Operational Resilience Working Group. Rosemarie is also very interested in utilizing behavioral science in compliance, and regularly writes and speaks on this topic.

Legal 500 praises Rosemarie for her "impressive work ethic, her attention to detail and ability to see the big picture beyond the detail." Legal 500 also praises Ms. Paul for her "genuine interest behind the FCA's "behavioral economics focus" and has read around this."

Chambers UK describes Rosemarie as a "powerful lawyer" who is "very smart and a very good advocate," as well as being "very knowledgeable about the regulations." She is also noted as "pragmatic, very sharp and patient. She has a great manner with clients and she is empathetic but no-nonsense, which is a terrific combination."

Rosemarie is actively involved in pro bono projects with Lawyers without Borders, and she was part of the LWOB teaching faculty that conducted an advocacy training programme in Kenya for prosecutors, magistrates and Wildlife Service officers and has also been involved in LWOB educational programmes about human trafficking in Africa.

THUR10 - NCSC Spotlight: Assessing the Cyber Threat

Sep 24, 2020 4:05pm ‐ Sep 24, 2020 4:30pm

Speaker(s):