Overview
Alex is a solicitor in the firm's financial services sector group. He specialises in retail investment funds and financial services regulation, with particular expertise in relation to the structuring, establishment, operation and winding up of UK regulated investment funds such as OEICs, AUTs and ACSs. 

Alex acts for fund operators including host ACDs, investment managers and other product providers as well as, on the buy side, for institutional investors such as pension funds. 
 
Experience
  • Advising fund manager clients on the formation and regulation of retail fund structures regulated by the FCA, such as UCITS and NURs.
  • Advising a fund manager client on the launch of a new £30bn  LGPS ACS, pooling the pension funds of eight local authorities. 
  • Advising clients on ESG matters, including on the launch of new ethical funds.
  • Advising private banks on their capital requirements, including advising a private bank on raising £10 million of tier 2 capital in accordance with the Capital Requirements Regulation 2013.
  • Drafting and advising on a wide range of investment management agreements between platforms, fiduciary managers and clients, including pension schemes.
  • Advising clients on major regulatory changes such as MiFID II and the Asset Management Market Study. 
  • Advising on the regulatory requirements and considerations relating to material outsourcing.
  • Advising on the regulatory perimeter, including whether proposed new ventures constitute regulated activities and on options for appropriate legal structures.