Joe is a member of the financial services regulatory team in London and plays a critical role in the firm’s white collar defense group. Joe advises financial institution and investment management clients, including their C-suite executives, in connection with investigations and proposed disciplinary action brought by the Financial Conduct Authority (FCA), Prudential Regulation Authority (PRA) and Recognized Investment Exchanges (RIE).

Joe’s recent contentious regulatory experience includes assisting clients (both corporates and individuals) in:

• Enforcement proceedings, including before the Regulatory Decisions Committee and Upper Tribunal (Tax & Chancery Chamber).
• Internal investigations and disciplinary proceedings.
• Evaluating individual accountability, including fitness and propriety assessments. .
• Preparing for regulatory interviews.
• Responding to supervisory enquiries and information requirements.
• Connection with skilled person appointments and past business reviews.
• Notifying and preparing reports for the regulators.

In addition to his investigations work, Joe maintains a complementary advisory practice where clients are counselled on the application of the U.K. regulatory framework. This includes:

• Regulatory support on transactional matters, including change in control applications.
• Authorizations and approvals.
• Regulatory change projects, including the regime for individual accountability and associated post-implementation advice.
• Cross-border compliance advice.
• Market conduct and governance.

With approaching 10 years’ experience, Joe has an in-depth understanding of how the regulators approach investigations. He has successfully helped clients manage and mitigate significant regulatory issues, often resulting in no regulatory intervention or adverse finding.

Joe has been recognized as a key lawyer in Legal 500 UK since 2021, in which clients note that:

• “Joe Hewton is a rising star. Utterly calm and professional, with a tremendous work ethic. He pores over the smallest details and constructs intricate arguments. He is a reassuring, confident and encouraging presence.”
• “From a regulatory perspective, our key stakeholder and point of contact has been Joe Hewton. Across a very complicated and challenging restructuring transaction, Joe has provided leadership and stewardship to a large and internationalised group of internal stakeholders and our other local legal advisers in connection with a variety of complex deliverables. Joe has shown significant determination and resolve in bringing a fraught and difficult restructuring process to an effective close, for which we are very grateful.”

Earlier in his career, Joe trained in the London office of a leading law firm, which included secondments to an insurance company and the compliance advisory team of a global international bank.