About

I specialise in both advisory and contentious financial services regulation and am Co-Head of our Financial Services team. I started my career in the Enforcement division of the Financial Services Authority (now Financial Conduct Authority) before moving into private practice, which has included secondments to Lloyds Banking Group and Macquarie.

I am very well connected across the firm to provide clients with a seamless and comprehensive service, ranging from employment matters such as SMCR, fitness and propriety and remuneration, corporate matters concerning change in control for financial services firms, advertising advice for a wide range of businesses concerning financial promotions, to outsourcing, e-money and payment services advice for our digital, commerce and creative clients. Not to mention my particular specialism in crypto-related matters.

I advise a very wide range of clients, from banks, financial institutions and investment firms through to advertising agencies, games platforms and cryptoasset firms.

Experience

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

Services

Sectors