Lucy Dodson

Consultant
Norton Rose Fulbright LLP

London
United Kingdom
T:+44 20 7444 5268
London
United Kingdom
T:+44 20 7444 5268
Lucy Dodson

Lucy Dodson

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Biography

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.


Professional experience

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  • 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.