Public and Regulatory
Stephen has spent some time over the past five years advising on the ever-increasing volume of regulation affecting the financial sectors.
He is shortly to be instructed by an overseas investment bank in relation to its obligations under the European Market Infrastructure Regulations (MMIR), the Markets in Financial Instruments Directive (MiFID II), the obligations that the Foreign Account Tax Compliance Act (FATCA) imposes (introduced by the American government with effect from July 2013) and of its responsibilities under the Dodd-Frank Act.
The economic situation has also seen a growth in the number of small to medium sized businesses enter the ‘Peer to Peer’ lending market. Stephen is currently advising a small British PLC wishing to create a peer to peer lending operation on the regulatory framework attaching to such an operation and Stephen has commenced the drafting of the documentation required for use in this new venture.
- R v C Z – Successfully argued for a low-level penalty having analysed in microscopic detail the way in which the breaches of the regulations had come about. The fines imposed were 1/5th of those expected.
Health and Safety
- R v M – Advised upon the non-prosecution of a nursery school where a 3 year old child died in an accident whilst at school. The case eventually went to judicial review where Stephen's original advice as to what course the case should take was approved and upheld by the Queen’s Bench Division
- R v S – Alleged breaches of workplace regulations concerning welding equipment. Employee died in an explosion and the HSE investigated. Advised from the outset and before the client was interviewed. As a result the HSE were persuaded not to prosecute the client although others were.
- R v BP – Alleged breaches of planning regulations over a 10 year period. Successfully argued technical failures in the prosecution case leading to acquittals on all matters and a full indemnity of costs
- R v SL – Successfully argued highly technical issues regarding planning enforcement proceedings taken by a local authority against a person with no legal or equitable interest in the property. Client obtained a full indemnity of the costs incurred
- R v P – A planning enforcement case involving technical submissions regarding the local authority’s litigation procedures. Case resulted in an acquittal after three days of legal argument. The client was awarded all of his costs.
- R v AB – Represented the family of a deceased who died as a result of alleged medical negligence whilst in hospital. Key witnesses were cross-examined at this critical stage to facilitate the progress of the civil action in clinical negligence against the doctors and the health authority
- R v GH – Client involved in a fatal road traffic accident and was facing a criminal prosecution for causing the death and a civil action for damages. Successfully cross-examined key witnesses at this key stage of the matter resulting in no prosecution taking place.
Stephen has successfully represented police officers before Police Disciplinary Tribunals.
Corporate governance and bribery:
To date, much of the corporate governance and Bribery Act 2010 work has been in the form of advising organisations as to protocols, procedures and processes. The Act came into force on 1st July 2010 and the results of the investigations under it are now beginning to see the light of day.
Stephen has written and lectured to a number of audiences on the Bribery Act 2010.
- F v K and L – Advising on a civil claim to recover tens of thousands of pounds involving accusations of fraud, forgery and an attempt to pervert the course of justice allegedly occurring during the course of earlier civil litigation
- J v JB – A case involving the identification of hidden assets here and abroad and the recovery thereof
- R v G is a civil fraud case presently before the Companies Court. The client is alleged to have defrauded two British banks of a total of £1.68 million using a BVI company (now in administration) to acquire properties in the UK. The case involves a number of issues arising under BVI company law
- AB - Stephen is presently instructed on behalf of an American finance investment company in relation to a ‘Ponzi’ type scheme in which it is seeking to trace and recover £2.7 million.
Stephen has appeared before a variety of tribunals during the course of his career.
Stephen has appeared in inquiries and public meetings concerning, inter alia, the retention of medical services (a doctor’s surgery) in a community during health service restructuring, and the inadequate provision of sewage plant by a water company resulting in environmental pollution in an area of outstanding natural beauty.
He is currently representing an auction house in relation to a public inquiry regarding an application to reinstate an ancient and historically significant public right of way. If the inquiry finds in favour of the application the valuable commercial buildings and business the client owns will be rendered virtually worthless.
Miscellaneous and unusual cases:
- R v H – Defended a mortician charged with theft of body parts from a number of different hospital mortuaries over a number of years. A non-custodial sentence was secured
- R v S – Defence of a fisherman in which the legitimacy of the entire European fishing quota system was in issue. Issues such as the legislation being unlawful due to reasons of anti-competitiveness were advanced as well as other constitutional issues involving the interaction between UK and European legislation
- AA v A School – Successful defence of the Board of School Governors and three of its teachers against an accusation of racial discrimination
- He has also recently been instructed on behalf of a Deputy Head teacher from a different school who has been suspended pending accusations which amount to accusations of gross misconduct and potential summary dismissal.
‘Stephen is a meticulous and confident performer who is both charming and hardworking’. He is active in a wide range of areas, and has notable specialisations in fraud and copyright theft’.
‘…(he) honed his skills in engineering and financial services before coming to the Bar. He wins acclaim for his charming manner and clear headedness’.
Stephen has a ‘…wealth of experience in the cross-examination of experts (in a variety of fields) and (he) has lectured…on the topic of ‘The expert witness’.
Professional qualifications & appointments
- Associate Chartered Institute of Arbitrators
- The Criminal Bar Association
- The Proceeds of Crime Lawyers Association
- The British Academy of Forensic Sciences
- The Association of Regulatory and Disciplinary Lawyers
- The Health and Safety Lawyers Association
- The Public Access Bar Association.
Stephen Harvey QC is qualified to accept instructions directly from members of the public and professional clients under the Direct Public Access scheme.More Information
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