Chantal Stroker
Partner
Chantal specialises in contentious financial regulatory work, litigation and legal project management. She is a Leading Partner in The Legal 500 and TLT’s EDI Champion.
Chantal has been instrumental in developing TLT’s Financial Services Investigations and Contentious Regulatory practice from a standing start in 2017, into the market leading practice it is known as today. That practice handles some of the most significant and reputationally sensitive investigations and projects across the industry for an impressive and ever-growing client base.
She is a disrupter in the market, being recognised as providing magic circle/City quality and experience out of the region. She has extensive experience advising financial institutions on FCA enforcement investigations, internal and whistleblowing investigations. She routinely advises on the SMCR, the FCA and PRA Code of Conduct and fitness and propriety issues.
Chantal has advised financial institutions in connection with a range of issues including conduct and culture, systems and controls, AML and anti-bribery, regulatory reporting, operational resilience and the treatment of customers. Her experience includes advisory and risk management work, supporting clients on numerous Skilled Person’s reviews, past business reviews, remediation and change programmes.
Chantal is an active contributor to thought leadership across the industry, regularly being quoted in the FT, speaking at industry events (City & Financial, ACI), creating podcasts and developing TLT’s ‘Investigations Horizons’ thought leadership campaign. She has recently co-authored a chapter in the GIR Practitioner's Guide to Global Investigations book (whistleblowing) and the Journal of Financial Compliance (cultural implications of investigations).
She regularly engages in industry lobbying to support driving positive change. She has been active in lobbying the FCA on culture and non-financial misconduct for the past 5 years, including contributing to the ‘Sexism in the City Inquiry’, and more recently in connection with the FCA’s intervention into the motor market and the ICO’s approach to fine calculations.
Practice Areas
Panel
- Contributing Author
Qualified Year
- 2013
Experience
- Eversheds Sutherland (2013 - 2017)
- DLA Piper (2011 - 2013)
Membership
- Women in Banking and Finance (Manchester Branch)
Qualifications
- LPC (2011)
- LLB Hons (2009)
Education
- The College of Law (2010-2011)
- University of Manchester (2006-2009)
2 Contributions by Chantal Stroker
PRACTICE NOTES
Advising and representing whistleblowers in corporate and criminal investigations: reporting options, SOCPA immunity, SARs obligations, conflicts, privilege and interview strategy
This Practice Note offers guidance for lawyers acting for whistleblowers in criminal investigations. For employment law aspects of whistleblowing, see: Whistleblowing—overview and, in particular, the Practice Notes: Entitlement to claim whistleblowing, Whistleblowing—protected disclosures, and Whistleblowing defences and exceptions. Advice on responding to a whistleblower when representing a company or organisation is set out in Practice Note: Dealing with a whistleblower in internal criminal investigations.
To blow the whistle or not to blow the whistle?
Employees who choose to speak up are protected under the Employment Rights Act 1996 (ERA 1996) where the disclosure is a ‘protected disclosure’. For further detail on the statutory regime and what amounts to a ‘protected disclosure’, see Practice Note: Whistleblowing—protected disclosures. For those working in financial services, safeguards exist to ensure individuals raising ‘reportable concerns’ are not victimised. For more, see Practice Note: Whistleblowing—UK regulatory issues.
Preliminary considerations
Whistleblowing can be a key means of reducing potential risk for employers, which is why many have formal whistleblowing policies and procedures. By way of example, and prompted by criminal legislation such as the Bribery Act 2010, Criminal Finances Act 2017 and Economic Crime...
Corporate Crime
PRACTICE NOTES
Handling whistleblowers in corporate internal criminal investigations: UK lawyers’ practical guide on policy, privilege, investigations and self-reporting
This Practice Note outlines the practical issues that can follow receipt of a whistleblower report from the viewpoint of the corporate entity receiving it (including limited companies, partnerships and LLPs). For guidance aimed at those representing whistleblowers, see Practice Note: Representing whistleblowers in internal criminal investigations. Reports may cover a broad range of suspected wrongdoing, from breaches of internal policy and employment matters such as discrimination, to allegations of serious criminality. The focus here is the latter, though some principles have wider relevance...
Whistleblowing policy
Benefits of implementing a whistleblowing policy
While whistleblowing legislation does not generally require companies to maintain a whistleblowing policy (with specific rules applying to listed companies and those in the financial services sector), creating and publicising clear, robust policies and procedures for dealing with whistleblowing is regarded as best practice and delivers several benefits:
It signals a psychologically safe corporate culture; promoting use of internal reporting routes and safeguarding those who speak up through them
It encourages the early reporting of issues...
Corporate Crime
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