Julie Dao
Biography
I am an Associate Chartered Legal Executive in our Regulatory and Criminal Investigations team. I advise individuals and businesses on a wide range of financial crime, regulatory investigations and compliance matters.
Regulatory Compliance
I have significant experience advising on anti-money laundering (AML) obligations and broader compliance requirements. My work includes:- Conducting AML audits and drafting compliance policies for regulated firms
- Advising on Suspicious Activity Reports (SARs) and reporting obligations.
Examples of work:
- Assisted a financial services firm in implementing a robust AML framework following an FCA review
- Drafted AML policies for a firms who are AML supervised or seeking supervision/authorisation.
Financial Crime
I regularly advise on matters under the Proceeds of Crime Act and related legislation. I help clients manage risks and respond to enforcement action. My experience includes:
- Account freezing orders and restraint proceedings
- Confiscation and asset recovery cases
- Advising on bribery, corruption and fraud investigations.
Examples of work:
- Represented an individual subject to an account freezing order, securing the release of funds
- Acted in a complex fraud case involving multi-agency investigation.
Regulatory Investigations/Prosecutions
I support clients facing investigations by agencies such as the Serious Fraud Office, HMRC and the police. I provide strategic advice to protect clients’ interests and minimise disruption.
Examples of work:
- Assisted a professional services firm during an SRA investigation into AML compliance
- Advised a gaming operator under Gambling Commission scrutiny for regulatory breaches
- Represented individuals being prosecuted by Companies House.
Sectors
My clients operate across a wide range of sectors, including:
- Estate agents and high-value dealers
- Gaming and gambling operators
- Financial services firms
- Cryptoasset businesses.
My sector knowledge allows me to deliver practical, tailored advice that meets the specific regulatory challenges faced by each industry.