Duncan is an associate in the financial services team, where he advises clients across a wide range of different industries on compliance with the UK financial regulatory regime. These include:
- Fund managers
- Investment firms
- Fintech businesses
- Consumer credit firms.
Examples of experience include advising:
- The regulatory perimeter, including applications for FCA authorisation and to vary existing permissions
- Financial promotions
- The application of the senior managers and certification regime
- The marketing of regulated products
- The application of the UK consumer credit regime
- The provision of cross-border services into and out of the United Kingdom
- The regulatory considerations arising from the acquisition and disposal of financial services businesses.