Vanessa Walters, Senior Associate
Vanessa advises on day-to-day regulatory issues for a variety of clients such as investment managers, private banks and trading platforms.
AboutVanessa has particular expertise in the investment management and private banking sectors. She advises both UK based firms and overseas firms who wish to provide investment and banking services in the UK market. Her work includes advising clients on the impact of UK and EU regulatory requirements on their activities. She advises in particular on issues arising from conduct of business requirements including client documentation and disclosures, financial promotions, anti-money laundering, suitability and distribution. An important part of Vanessa’s practice is advising banks on the legal aspects of lending which includes advice on the structuring of lending facilities consistently with the increasing application of regulation in the area of consumer credit and mortgages. As part of her work for clients in the investment management sector, Vanessa has been involved in the structuring of alternative investment funds.
Vanessa has been involved with advising a number of start-up innovative FinTech platforms on their regulatory requirements, assisting them in obtaining the regulatory permissions required and drafting their client documentation.
Vanessa also advises on day-to-day regulatory issues relating to trading, markets and settlement for fund managers, brokers, dealers, trading platforms, 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.
- 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
FCA’s Dear CEO letter to Wealth Managers – Focus on Best Execution
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FCA’s investment platform market study final report – Impact on the asset management industry
Vanessa Walters and Jed Wilsher summarise the key findings of the FCA's investment platform market study report.