Partner

Financial Services

Get in touch

For further advice please contact us for a consultation.

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+44 (0)3330 143 401 info@gunnercooke.com

Partner

Financial Services

Expertise

Carol is a corporate financial services specialist with extensive experience working within and advising banks and investment firms across Europe.

Her broad experience in private practice and as a general counsel gives her a deep understanding of the legal and regulatory complexities faced by individuals and businesses working in the financial sector as well as the root causes of regulatory problems.

Carol has managed a broad range of corporate transactions and contentions matters and has dealt extensively with the FCA and regulators across Europe including Luxembourg, France and Italy. She advises on regulatory change and how businesses can adapt in a changing environment.

She is solution-driven and takes a pragmatic risk-based approach in advising her clients. Carol has board and executive committee experience.

Carol Advises

  • Investment firms
  • Funds
  • Asset servicing companies
  • Start-ups and individuals

Experience Highlights

Carol advised Invesco on its Brexit strategy and on its response to the FCA Asset Management Market Study which is reshaping the UK asset management industry. She also led the implementation of MiFID II, established a research sharing policy and advised on the application of MAD II to global trading and investment desks.

Whist at State Street and Invesco, she advised on changes in business practices and corporate structures to reduce operating costs and regulatory burdens, in the former case by enabling a project to reduce $40million per annum in operating costs and in the latter case by obtaining a change in prudential status.

As general counsel, she has been involved in numerous acquisitions and disposals including a $2billion Italian asset servicing business and has managed significant litigation brought against Merrill Lynch following the research scandals in 2001 and by and against clients and counterparties of State Street in connection with the financial crash, including the Lehman insolvency. She successfully managed the regulatory investigations resulting from such litigation.

Carol has extensive corporate governance experience having been involved in several Section 166 reviews. She is on the board of Infirst Healthcare Limited a company in which Invesco has a significant holding.

Career History

Previous Law Firms

  • Invesco Asset Management – interim head of regulatory affairs
  • State Street Bank – head of legal EMEA
  • Merrill Lynch Private Banking– general counsel EMEA
  • Linklaters

Education

  • Harvard Executive Business School
  • University of Paris (Law)
  • Sciences Politiques (Economics) Paris

Get in touch

For further advice please contact us for a consultation.

-
+44 (0)3330 143 401 info@gunnercooke.com