What he's best at:
Edward has a broad and deep experience of the financial services sector having worked in this space for nearly thirty years. He has extensive expertise in all aspects of financial services and markets law and regulation as well as derivatives, funds and other financial products. His specialist experience as a regulatory, advisory and transactional financial services lawyer and as a compliance consultant includes investment funds (particularly hedge funds, private equity funds and other alternative investment funds); OTC as well as on-exchange derivatives and securities; proprietary traders including high frequency traders and automated traders; and regulation of exchanges, clearing houses and other financial markets and products.
In addition to being an English solicitor he was admitted as a member of the bar of the State of New York in 1983 and has practiced in both the UK and the US. Edward’s practice within the financial services and markets space has particularly focused on cross-border and multi-jurisdictional products, transactions and structures. His client base is both “buy-side” and “sell-side” and includes funds and asset managers and advisers; derivatives and securities brokers and dealers; investment banks, proprietary traders and corporate finance firms as well as family offices and institutional investors.
Who he works for:
Asset managers and advisers
Derivatives and securities brokers and dealers
Corporate finance advisers
Areas of expertise:
- Regulatory compliance: advising on a broad range of issues relating to conduct of investment business including the application of the Financial Services and Markets Act 2000 (FSMA), the principles and rules of the UK Financial Conduct Authority and EU financial services and markets Directives and Regulations.
- Particular experience with perimeter issues relating to the need for authorisation to carry on investment business in the UK – including perimeter advice on investment business, consumer credit and mortgage business.
- Preparation, negotiation and advice on a broad range of investment business products and services including asset management and investment advice, securities, OTC and on-exchange derivatives (trading and clearing), repos and securities lending, investment funds, structured products, depositary and custody services, collateral management, prime brokerage agreements and investment management agreements as well as a broad range of other agreements relating to financial products and services.
- Fund formation, marketing and distribution (particularly alternative investment funds such as hedge funds and private equity funds and other alternative investment funds (AIFs)).