Employment, investigations & dispute resolution

Advising on clauses to address SMCR, fitness and propriety and remuneration requirements in employment contracts
Advising on responses and carefully considered content in regulatory references to meet financial services regulatory obligations
Advising on settlement agreement terms to address SMCR and remuneration requirements
Advising on scope, timing and content of notificationsof regulatory notifications
Advising on responses to FCA/PRA information requests, investigations, interviews, and enforcement proceedings. My advice covers strategy and conducting investigations and proceedings

Corporate

Advising buyers and sellers of financial services firms on the change in control regime in acquisitions and disposals, including due diligence, SPA terms, regulatory notifications
Advising on compliance with the financial promotion regime
Advising on the application of DTR, notification requirements, and application of the market abuse / insider dealing regimes for Listed companies
Preparing and providing legal opinions for purposes ranging from opening a bank account to application to an overseas authority for a cross-border licence

Digital, commerce & creative

Advising both financial services firms and third party technology providers on outsourcing agreement terms required to address financial services regulatory requirements
Advising payment services and e-money firms on perimeter regulatory advice, as well as advice on customer terms
Advising a wide range of firms on their use and adoption of crypto, be that pure financial promotion advice, to structuring, for retail clients issuing NFTs to gaming clients with in-game currency

Advertising

Advising a very broad range of clients (from car companies to insurers to advertising agencies) on compliance with the requirements of the financial promotion regime

Authors