Stephen Harvey KC

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.

• 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. 

Planning enforcement

• 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.

Inquests

• 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.

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.