Biography
Chris is a partner in our commercial team, who leads the financial regulatory practice at Ashfords and has extensive experience of advising financial services firms on a full spectrum of regulatory matters.
Chris is a trusted adviser to a diverse client base that spans private wealth managers, investment and retail banks, payment services firms, insurance intermediaries, FinTechs, corporate finance advisers and fund managers. He delivers clear and commercially-focused advice across a complex and ever-evolving regulatory landscape.
He advises clients on all elements of the regulatory lifecycle, including: perimeter analysis; FCA authorisation applications; the drafting of compliance policies and customer Ts and Cs; regulatory change management; engaging with the FCA; and advice on day-to-day compliance matters. He also has significant experience of advising on the financial regulatory aspects of corporate transactions.
Prior to joining the firm, Chris practiced at leading international law firms in London for a number of years. This included a secondment to the Legal team of a private bank.
Relevant experience
Foresight Group: Advising on the acquisition of the business of WHEB Asset Management, a leader in impact investing.
Octopus Money: Advising on the acquisition of the investments and pensions business of Virgin Money, adding 150,000 customers to Octopus Money’s business.
Global FinTech: Advising on the structure of a proposed operating model for the distribution of investments in private companies to its customer base.
FX broker: Conducting a "deep-dive" review of an FX broker, focusing on potential client assets, regulatory capital, client classification and suitability breaches and advising it in relation to its communications with the FCA.
UK bank: Advising the bank on its obligations under the Senior Managers and Certification Regime, including the provision of training sessions and mock regulatory interviews for board-level individuals.
