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Vanessa Walters, Associate

Vanessa advises on day-to-day regulatory issues for a variety of clients such as investment managers, private banks and trading platforms.

Summary

Vanessa advises on day-to-day regulatory issues for a variety of clients such as investment managers, private banks and trading platforms. She also advises on day-to-day regulatory issues relating to trading, markets and settlement for fund managers, brokers, dealers, liquidity providers and clearing firms and in a wide range of investments including CFDs, FX and Spread Betting.

Vanessa is admitted to practise in England and Wales.

Experience highlights

  • Advising on FCA rules and guidance in particular COBS, SUP, SYSC, financial promotions and CASS
  • Assisting with drafting client take-on documentation, terms of business, order execution and conflicts policies and advising on issues relating to anti-money laundering checks and suitability assessments.
  • Assisting with applications for authorisations to the FCA to carry on regulated activities and variations of the same
  • Preparing client documentation for an investment manager together with advising on issues relating to the Alternative Investment Fund Managers Directive
  • Advising on UK regulatory changes including the impact of changes to the Consumer Credit Act 1974 and the FCA’s Mortgage Conduct of Business Rules on lending documentation and procedures and the Payment Services Directive on current and deposit account terms and conditions
  • Advising on market abuse regulation in the UK
  • Advising on applications for membership of regulated markets and multilateral trading facilities
  • Advising on the structuring of a number of high frequency and algorithmic traders
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