Emma joined the firm in August 2016. She has over 20 years' experience of specialising in financial services regulation. Emma advises UK and international clients on compliance with all aspects of financial regulation and prevention of financial crime.

Emma acts for a range of regulated clients including banks, fund managers, investment firms, insurance firms and other retail intermediaries. She advises clients on:

  • The regulatory perimeter, including help with applications for authorisation and variation of permissions
  • The application of the approved persons and senior managers regime
  • Marketing of products and services
  • Cross-border services both into and out of the UK, from the European Economic Area and third countries
  • Review and drafting of compliance policies and procedures for all aspects of business, including customer take-on policies and financial crime prevention
  • Commercial agreements with third parties
  • Training and competence requirements
  • Dealing with the regulator. 
 
Emma is a regular contributor to industry journals and also speaks regularly at industry conferences. She has won many awards at the Compliance Register Platinum Awards, including, in 2015, Best Regulatory Lawyer and Best Compliance Trainer. She writes articles frequently and is on the editorial board of Compliance Monitor, Financial Regulation International and World Securities Law Report.
    Experience
    Examples of experience include advising:
    • UK branch of third country bank as general adviser on financial regulatory and financial crime compliance, including regular reviews and updates of compliance manual, AML sanctions and anti-corruption policy, application of the Senior Manager Regime and ad hoc regulatory issues.
    • UK, global and third country fund managers,  on a range of issues relating to alternative investment fund management, including advising on the marketing and sale of AIFs to professional and retail customers in a wide range of EEA and third country jurisdictions and co-ordinating dealings with local counsel and regulators
    • Major national and international businesses in the broadcasting, retail and manufacturing industries on compliance with financial crime prevention laws, including reviewing, adapting and customising policies to comply with the UK Bribery Act and financial sanctions regimes, assisting with risk assessments on counterparties and transactions, and providing bespoke training to businesses and associated persons
    • Due diligence in relation to potential acquisitions in the financial institutions, consumer (retail finance, insurance and mortgages) and consulting areas, in relation to financial regulatory and financial crime compliance, and
    • Investment, insurance and consumer credit firms on authorisation and variation of regulatory permission.

    Emma has won many awards at the Compliance Register Platinum Awards on several occasions, including Best Regulatory Lawyer (2014 and 2015), Best Compliance Trainer (2012, 2014 and 2015), led the practice that won the Best Law Firm/Consultancy (Financial Crime) award in 2014, and was the editor of a newsletter that won the award for best editorial team in 2012, 2014 and 2015.

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