Our people

Jacqui heads up the Financial Services Advisory Group which sits within the Financial Institutions Group.   She has a wealth of experience across the broad spectrum of the FSA regulated community. 

Her clients range from asset managers, brokers, banks, fund managers, fund platforms, exchanges, insurance companies, brokers, energy traders and corporate finance boutiques.

She provides regulatory advice to both the buy side and sell side and covers both retail and wholesale business.  Typical work includes advising on issues relating to authorisation, structuring, energy trading, the regulation of derivatives, outsourcing, systems and controls, conduct of business, financial resources, market abuse, EU directives, promotion and distribution of investments and money laundering.  Typical work also includes providing specialist regulatory advice on transactions within the FSA sector.

Please click here to view the Financial Services Advisory Group London Capability Statement.

Representative Matters

• Carrying out a health check of a wealth management arm of a private bank and of a corporate finance house

• Carrying out a compliance streamlining exercise for an investment bank, including identifying key issues applying in the UK and comparing these to other global jurisdictions

• Investigating and reporting upon a suspicious trading incident at a corporate finance boutique

• Advising a company with knowledge of information on the underlying investment whether they could trade

• Advising a bank outsourcing its back office and some of its front office to Bangalore

• View all...

Publications

• "FSA should probe harder for fraud", Funds Europe (December 2009)
• "Approved persons: FSA's intrusive approach", Journal of International Banking and Financial Law (December 2009)
• IFLR article on banking issues 8 January 2009
• FTSE Global Markets article on the shift to outcomes focused regulation 1 May 2009
• Panellist on Acquisition Monthly Webinar on "What implications do proposed regulatory changes have for mergers and acquisitions activity" 7 May 2009
• Frequent commentator for legal and financial journals

Experience

Professional Admissions / Qualifications

• England and Wales