PRACTISE
- UK, EU and US Securities and Financial Services Regulation (also Canada, South Africa and Thailand)
- Gaming Regulation, especially in the United Kingdom
- Privacy Regulation, especially the GDPR
- Stock Exchange Regulation
- Corporate Finance and Corporate Governance
- Drafting of Financial and Gaming firms' core documents, including Terms and Conditions, Promotional Terms and Privacy Policies; Commercial Partner, Affiliate and Referral Agreements
- Drafting of Board Level Policy Documents (committee references, compensation and bonus structure, risk management policy, etc.)
- Mergers and Acquisitions
- Employment and Consultancy Contracts and related handbooks
- Court Actions and Administrative Proceedings (e.g., the Financial Ombudsman Service)
- Insolvency Litigation, Guidance and Financial Workouts
- Information Technology and Licensing
COMPLIANCE PRACTISE (trading as REGENCY COMPLIANCE CONSULTANTS)
- Creation, development and management of compliance departments in financial services firms with worldwide operations
- Preparation of GDPR compliant Privacy Policies; representation of firms responding to enquiries from and cases opened by government data protection regulators
- Former holder of what are now Financial Conduct Authority (FCA) Senior Management Functions in Compliance Oversight (SMF 16) and Money Laundering Reporting (SMF 17)
- Liaison and relationship manager with the FCA's regulated firms Supervision Division, Stock Exchanges (including the LSE and the AIM) and the Takeover Panel
- ICAAP preparation; coordination and management of FCA systemic framework interviews and assessments
- Drafting of FCA regulated firms' compliance manuals, compliance monitoring programmes, trading terms of business and client application documentation
- Preparation of firm applications for regulatory permissions and securities authorisation
- Manage a firm's reporting and approvals requirements via FCA GABRIEL and ONA systems
- Extensive experience with interpretation of the FCA Handbook (especially for BIPRU firms) and the Joint Money Laundering Steering Group Guidelines; successful advocacy for application of these regulations achieving results favourable to clients