Real opportunities: how private capital can access real estate
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About
Alex has a very broad regulatory practice advising banks, asset managers, wealth managers, mortgage providers, insurers, corporate finance advisers and intermediaries on all aspects of their financial services regulatory obligations.
Alex’s practice includes advising on:
- regulatory restructurings, new authorisations, consolidations and acquisitions, including regulatory capital and consolidation;
- Financial Services and Markets Act 2000 perimeter questions;
- regulatory developments including IFPR, changes to the appointed representative and financial promotions regimes, MiFID II, SMCR, Brexit, and the Consumer Duty;
- new service and product launches, conduct of business obligations, product governance and the Consumer Rights Act 2015;
- distribution and outsourcing;
- client money and assets;
- a wide variety of applications to the FCA and PRA;
- section 166 skilled person appointments, handling rule breaches and communication with the FCA and PRA;
- corporate governance, systems and controls; and
- remuneration and anti-money laundering obligations.
Alex also has extensive experience advising family offices on regulatory compliance including seeking FCA authorisation and, where required, ensuring that family offices and private investment structures are able to operate on an unlicensed basis.
Experience
- Advising Isio, one of the fastest growing pensions, reward and benefit and investment advisory businesses in the UK, on new investment from Aquiline Capital Partners LP.
- Advising Partners Capital Investment Group, a global outsourced investment office, on a minority investment from General Atlantic, a leading global growth equity investor.
- Advising 7IM on its acquisition of Amicus Wealth as part of 7IM’s broader growth strategy.
- Advising numerous firms on the Consumer Duty.
- Numerous clients on FCA/PRA change in control, authorisation, rule waiver, and variation of permission applications.
- Advising on a variety of different regulatory matters including its collaboration with BlackRock on six fund launches.
- Advising on the restructuring and rationalisation of its UK businesses.