I advise financial services firms on the regulatory issues affecting them. I run our financial services regulatory consultancy, Bates Wells Compliance.
My compliance experience spans a wide range of financial sectors. My area of particular specialism is regulation for the venture finance industry – companies involved in providing finance to SMEs. My clients in this part of the market range from venture capital and private equity investment houses to corporate finance advisers and business angels. I am particularly well known in the EIS, crowdfunding and P2P lending industries for being the go-to consultant for regulatory support.
The advice I provide covers all areas of regulation that affect UK financial services companies including the FCA rules and regulation from Europe such as AIFMD, MiFID and PSD. My advice is both technical and practical, and I take particular pride in making sure my recommendations are closely tailored to the needs of each client.
I especially enjoy advising firms on their regulatory strategy for significant changes to their business such as the structuring of new products and services, the need for new regulatory permissions and complex changes in ownership structure.
More widely, I have supported clients in a range of sectors from wealth management, social impact investing, banking, e-money and payment services, custodians, consumer credit, property funds and hedge funds.