Lucy Dodson
Consultant
Norton Rose Fulbright LLP
Related services and key industries
Biography
Lucy is a financial services and regulatory lawyer based in London.
Since joining the firm in 2009 Lucy has been involved in a wide variety of financial services matters and corporate transactions.
Professional experience
Collapse all- Solicitor, qualified in England & Wales
- Licensing advice – Advising clients on authorisation requirements and UK and EU exclusions and exemptions. Advising on hedging transactions and the regulatory perimeter. Providing advice in relation to structuring global groups to minimise regulatory burdens.
- FCA applications or notifications – Assisting clients with authorisation applications, change of control analysis and applications and FCA notifications.
- Trading – Drafting and advising on brokerage documentation. Advising on UK and EU regulatory trading requirements and financial promotion issues and drafting appointed representative agreements.
- Outsourcing – Review and negotiation of intragroup and outsourcing agreements and ensuring their compliance with regulatory requirements.
- OTC derivatives – Advising on clearing and risk mitigation requirements under EMIR. Drafting clearing agreements between CCP clearing members and their counterparties.
- Reporting obligations and position limits - Advising on EMIR reporting obligations and UK and EU reporting obligations, position reporting and position limits.
- Market infrastructure - Advising exchanges and clearing houses on compliance with their regulatory requirements and the impact of exchange and CCP rules. Part of the core team which set up one of the first EMIR compliant trade repositories.
- Trading and surveillance – Advising on the Market Abuse Regulation, including manipulative behaviours, disorderly trading on venues and benchmark manipulation.
- Benchmarks – Advising on the regulation of EU and UK benchmark administrators under the BMR. Advising on recognition and equivalence arrangements for third country benchmarks. Advising on systems and controls for benchmark contributors.
- Advising on FCA regulatory requirements such as the Senior Managers Regime and Client Assets regime.
- Lucy's experience includes a secondment to Norton Rose Fulbright LLP's Hong Kong office, and secondments to a benchmark administrator, asset manager and global insurer.
Insights
Split the difference: Markets in EU and UK - Recent and upcoming changes to EMIR
Podcast | April 25, 2023