William Garner, Partner
William specialises in financial services.
AboutWilliam specialises in the financial services sector and leads the firm’s Broking, Trading and Markets practice. He has advised on the structuring and establishment of numerous financial services businesses and investment funds. He also regularly assists clients throughout the UK authorisation process and has particular expertise in advising clients on a wide range of regulatory, trading and markets issues and perimeter issues.
William has a diverse range of clients across exchanges, multilateral trading facilities, broker crossing networks, investment banks, brokers, dealers, proprietary trading firms, and investment managers in connection with multiple investment and product classes (including equities, fixed income, funds, commodities, derivatives and commercial and wholesale FX). Extensive non-law trading experience enables him to provide legal expertise which is complemented by significant industry insight and an understanding of the practical and commercial realities of running a business involved in financial markets.
William also leads the regulatory side of the firm's FinTech practice and regularly assists clients in fitting novel and fast moving technological business models into the less dynamic regulatory framework.
William is admitted to practise in England and Wales.
- Advising investment banks and brokers in relation to providing direct electronic access to execution venues (DMA and sponsored access) and providing white labelled services to third party brokerages
- Assisting numerous clients setting up European execution venues and trading platforms (MTFs, crossing networks and other OTC platforms)
- Assisting numerous international brokerages and proprietary trading firms to set up European operations or restructure existing operations
- Advising numerous regulated firms in connection with alleged FCA or exchange rule breaches
SMCR – Briefing Note for Broking and Trading Firms
All broking and trading firms which are regulated by the FCA will become subject to the SMCR on 9 December 2019.
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