I am an advisor to the financial services industry, guiding firms on the regulatory issues affecting them. Although I have supported a wide range of financial businesses over the years, I focus particularly on those in the venture capital, private equity, fintech and social impact sectors. I founded and run our consultancy dedicated to this work, Bates Wells Compliance.
The advice and support I provide spans European regulations like AIFMD, MiFID II, PSD2 and PRIIPs, through to UK-specific regimes like SM&CR, the client money regime and the rules for consumer credit firms. The work we do ranges from giving highly technical advice on what is and is not regulated, through to providing training on hot topics such as the financial promotions rules and even rolling up our sleeves and going in to help firms with their daily compliance tasks.
I am known for giving advice that is not only technically excellent but really bears in mind what my client is looking to achieve and the constraints they are working within. Its perhaps no surprise then that I spend a lot of my time working closely with firms on their strategic planning as there are scaling their businesses and going through changes. This kind of strategic regulatory work includes, for example, the launch of new products, changes in a firm’s structure and the acquisition of new regulatory permissions.