Katy has extensive experience in financial services law, both in-house and in private practice. Although familiar with a broad range of financial services issues, her specialisation primarily relates to the legal issues surrounding wealth management.
Katy's clients include investment managers, private banks, family offices and entrepreneurs and the common theme of her advice is how the Financial Services and Markets Act 2000, and the regulations made under it, affect financial service providers. She regularly advises clients on drafting terms of business, obtaining new authorisations, establishing, restructuring and marketing AIFs and UCITS funds, financial products (both retail and institutional) and regulatory compliance, including drafting compliance and risk management policies.
A second aspect of Katy's practice extends to advising clients on the regulatory issues relating to loans. This area covers both regulated mortgages, under MCOB, and loans or overdraft facilities and other credit facilities regulated under CONC. In this area Katy has a particular experience of advising schools and universities on credit issues affecting fee payment arrangements.
Who we help
Katy acts for asset managers and private banks on a wealth of financial regulatory matters including conduct of business issues, setting up new regulated businesses, marketing restrictions and drafting client documentation. Go to Financial institutions