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Lucy is a financial services 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.
- Solicitor, qualified in England & Wales
- Adivsing on the client assets regime for investment business;
- Adivsing a recognised CCP in relation to its clearing and settlement arrangements;
- Advising on the new client assets regime;
- Advising clients on EMIR compliance;
- Advising on markets infrastructure projects such setting up a trade repository and advising on the launch of an exchange;
- Drafting and negotiating depositary agreements, including AIFMD compliant agreements;
- Advising clients on compliance with the FCA Rules and implementation of new European legislation such as EMIR, AIFMD and MIFID II;
- Drafting, reviewing and negotiating investment management, brokerage, and outsourcing terms of business and agreements;
- Seeking FCA authorisation for investment firms and FCA recognition for recognised bodies;
- Advising on FCA filings such as changes of control;
- Advising on issues relating to financial promotion;
- Drafting and advising on appointed representative agreements;
- Reviewing and drafting internal compliance documentation;
- Advising on anti-bribery and corruption; and anti-money laundering procedures and risk assessments;
- Delivering anti-money laundering training;
- Developing compliance documentation and systems and controls for a range of investment firms and recognised bodies.
- Lucy's experience includes a secondment to Norton Rose Fulbrights Hong Kong office, and secondments to an asset manager and global insurer.