A welcome breath of Brexit pragmatism, in the interests of business and its customers, from Andrew Bailey at the City Banquet, Mansion...
Alex has a broad range of non-contentious regulatory experience, with a particular focus on retail / mass market wealth work as well as regulatory perimeter questions.
She advised on both MiFID I and MiFID II implementation and has experience of a wide range of regulatory applications for different clients including applications for authorisation, variation of permission, change in control, rule waivers / modifications for a broad range of firms including insurers, banks, investment managers and advisory firms.
Alex also has experience dealing with more unusual applications under the UK regulatory regime which require multi-regulator, multi-party approvals (including court approvals) such as applications under Part VII Financial Services and Markets Act 2000.
She advises regularly on COBS, CASS, SYSC and SUP.
As a free user, you can follow Passle and like posts.
To repost this post to your own Passle blog, you will need to upgrade your account.
For plans and pricing, please contact our sales team at firstname.lastname@example.org