William specialises in UK and European financial services regulation, focussing primarily on the investment, pensions and deposit-taking sectors. He also advises on related issues of contract and trust law. The majority of his work is non-contentious, including advice on new product offerings, transactions and ad hoc compliance questions. He also provides technical support to clients during FCA enforcement actions, s.166 investigations and insolvency procedures.
His recent experience includes advising:
- UK deposit takers on credit risk mitigation and the CRR;
- private equity houses on the sale/purchase of regulated businesses, including due diligence, negotiation and the FCA change in control process;
- a fund manager on all aspects of its MiFID II change programme, including the new research payment rules;
- a s.166 appointee on trust law and the CASS rules;
- the special administrators of an insolvent futures broker on client classification disputes and the CASS rules;
- retail brokerage platforms on operational changes and COBS/MiFID II requirements;
- a bank on the transfer of tax wrapped investment plans.