I have extensive experience of interpreting regulatory rules, having drafted several parts of the FSA Handbook when I was working for the regulator. I have particular expertise in the rules concerned with marketing (called ‘financial promotion’ by the legislation) and have published frequently on them. One area on which I regularly advise is whether a particular activity requires regulatory authorisation or not.
More generally, I advise on the application of the UK regulators' rules to the businesses of firms and to individuals. This often involves working with colleagues in our Employment Reward and Immigration team in considering the regulatory consequences of an individual leaving a particular job. I review client documentation, compliance manuals, marketing material and third party agreements to ensure that they are compliant with the rules of the FCA and PRA and other applicable law. I also have experience of drafting offering documents and services agreements, and of reviewing prime brokerage and administration agreements.
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