Relevant experience includes:
- Authorisations: supporting applicants successfully achieve first time authorisation approval from various regulators, including firm authorisations, new fund authorisations (UCITS/non-UCITS/COLL), sensitive business names, Variation of Permission. .
- Advising UK and overseas clients on the regulatory perimeter, exclusions and structures.
- Advising fund and wealth management sector clients on custody and administration and reflecting disclosures in client agreements (e.g. models A/B).
- Advising on MiFID activities and exclusions, including in relation to energy, commodities and exclusions.
- Supporting an EU regulator in the assessment of the fitness and propriety of a licensed bank.
- Advising deposit takers in relation to joining deposit taking platforms, including under ISA structures.
- Advising a fund platform in relation to regulatory obligations including, transaction reporting, execution arrangements and contractual implications.
- Advising on the Principal and AR relationship for both Principal and AR firms, including supporting a Principal firm in discussions with the regulator. Completing a Principal firm due diligence exercise to ensure oversight and control of the ARs was compliant.
- Advising on disclosure and transparency rules applicable to a market participant, close periods and RNS disclosure.
- s166 and shadow s166 reviews: Acting as s166 expert for the FCA and on shadow s166 relating to financial crime, suitability and systems and controls issues.
- Advising on the nature of insurance contracts across various sectors, including tick cover under CLIP arrangements, performance bonds and insurance law and group cover arrangements.
- Advising on insurance mediation regulation.
